What We Do

  • We provide regulatory consultancy, training and project management

  • We will deliver your requirements directly, via interim management or consultancy and training contracts

  • We will help you to embed compliance, risk mitigation and accounting into your operations

  • We develop robust compliance monitoring programmes with comprehensive qualitative and quantitative testing, RAG reporting and systematic connection or reference to the risk register

  • We design and implement training programmes and have developed and managed wealth forums and committees.
    We have developed and presented courses for the Investment Association (IA) and the Chartered Institute for Securities & Investment (CISI)

  • We have written and reviewed CISI professional refresher modules, tests and workbooks for over 40,000 CISI members

  • We have managed global projects for clients and can assist with global regulatory requirements

      Client Assets (CASS)

  • We especially provide expertise and service for the management and protection of Client Assets

  • We will help you to develop efficient systems, procedures and controls, combined with an organisation structure, a regulatory framework and the monitoring programme to satisfy the FCA Principles and the Rules in the Sourcebooks for CASS, SYSC, COBS, SUP, COLL and FUND for safeguarding and administration of Client Assets

  • We will deliver complimentary treasury solutions, particularly for bank and custodian selection and due diligence, cash management and foreign exchange

  • We will carry out thorough due diligence and monitoring of investment operations for Asset Managers

  • We will assist the senior manager with the senior management function SMF18 (or SMF22 for UK branches of EEA and third country firms) and the certificated person with the CASS oversight certification function, to help them with their client assets' oversight responsibilities and accountability

  • We were selected by the CISI and IA to present their inaugural Client Assets and Client Money one day training courses and also represented the IA on the FCA's technical working group for client money and unbreakable deposits covered in policy statement PS18/2 .

  • We contribute to the Wealth Manager magazine and Citywire for articles to assist Asset and Wealth Managers

Our CASS acronym