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"The role of good governance to achieve CASS compliance"

Good Governance A Key Aspect of CASS Compliance

White Paper: AutoRek

In the present scenario, it is very difficult to achieve CASS compliance without the correct CASS governance and oversight framework in place.

Most firms with CASS failings painfully resolve their issues only to find more problems down the line, despite all the costs and resources that they would have dedicated to resolving the initial failings. Often this is due to the lack of focus on building a sustainability framework that is forward looking, rather than incident driven.

But what does 'Good CASS Governance' even look like? Few firms or consultants can explain what good governance looks like or provide a tangible solution; a lack of clarity in the market exists even before the myriad of CASS arrangements have been added to the equation.

This whitepaper provides insights on what firms need to do in order to manage CASS risk and build a robust CASS governance structure. It highlights:

  • Good Governance: The Key to CASS Compliance

  • Personal accountability and Tougher CASS audits

  • The importance of centralized processes and controls

  • Risk management using 'tangible' governance tools

  • A 'Governance Wheel' of CASS governance's critical elements

  • The danger of 'sticking plaster solutions'

  • How Rosediem and AutoRek can help

Good Governance A Key Aspect of CASS Compliance
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