Course description
Managing & Controlling Your CASS Audit
This course will provide participants with the knowledge, skills, ideas and frameworks to improve the proactive management and control of their CASS Annual Audit process.
No matter what stage of the audit you are currently at, this course is designed to cater for all situations that a firm or individual may be in, in order to empower CASS professionals to take back control of both the process and outcome.
Benefits of attending:
- Be fully prepared for the CASS audit process
- Understand what good looks like from an audit perspective
- Make critical decisions when it comes to the audit
- Acquire new tools, techniques and methods to assist with your audit process
- Improve confidence through peer networking
Multi-Booking and Client Rates available - get in touch for more information.
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Suitability - Who should attend?
Who should attend:
- CF10a's
- SMF21's
- Heads of CASS Oversight
- ASS Managers
- Any professionals responsible for co-ordinating or facilitating the CASS audit
Choose this course when:
- Preparing for a CASS audit in your firm
- Taken over a new role with the CASS team
- Looking to introduce new capabilities, methods and techniques
- Developing learnt responses to critical situations
- Wanting to improve knowledge & awareness of the audit process
- Developing desired behaviours within culture
Training Course Content
- The role of the CASS auditor, audit objectives and requirements
- Understanding the auditor’s mindset
- The control environment – what the auditor is looking for
- Audit qualifications – how they are arrived at and the consequences for firms
- Successfully managing CASS audits from start to finish
- Where’s the proof? Effectively evidencing CASS compliance
- CASS risk assessment in practice
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