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CASS and Safeguarding: 10 Key Considerations When Transitioning from Spreadsheets to Automated Solutions CASS and Safeguarding: 10 Key Considerations When Transitioning from Spreadsheets to Automated Solutions The article discusses the challenges firms face in transitioning from spreadsheet-based to automated systems for CASS (Client Assets Sourcebook) and Safeguarding reconciliations, which are crucial for compliance audits. As firms enhance their governance and operational models for client assets and customer funds, system and process automation becomes essential. This migration is complex due to the critical nature of reconciliations and the stringent notification requirements from the FCA in case of failures. Successful migration requires careful management and alignment among stakeholders to ensure accuracy and reliability. With all of that, here are 10 key considerations when transitioning from spreadsheets to automated solutions that you should keep in mind.

CASS 7 reconciliations – Common fallacies and rule misconceptions Navigating the intricacies of CASS 7 reconciliations involves understanding common fallacies and rule misconceptions. Holding client money isn't a regulated activity per se but requires FCA permission. Firms must adhere to strict rules to protect client money, ensuring accurate reconciliations and compliance with FCA regulations. This article delves into defining approaches, prudent segregation, interest allocation, post-insolvency activities, reconciliation frequency, and audit trails, providing insights into managing CASS 7 obligations effectively. Events Grath & fscom: FCA’s Safeguarding Consultation Webinar As the FCA’s safeguarding consultation approaches, we at Grath partnered with fscom to guide you through the essentials to ensure your firm is ready.
Events Proactive Safeguarding Strategies – FCA Safeguarding Webinar Join us for this webinar on June 26th from 11:00 to 12:00! As the FCA’s safeguarding consultation approaches, we at Grath are partnering with fscom to guide you through the essentials to ensure your firm is ready. Registration details below. Risk & Compliance Consumer Duty | Part 5 | Consumer Duty Levelling Up Program 💷😊 Rounding off the Consumer Duty insight series, we now discuss the Consumer Duty levelling up program, supported by our best-in-class Risk and Compliance software. Platform One Partners With Grath Customer Spotlight Platform One Partners With Grath 🤝 Platform One has chosen Grath's GRC solution to automate its regulatory Risk and Compliance function. Continuing Consumer Duty insight series Risk & Compliance Consumer Duty | Part 4 | Price & Fair Value 💷😊 Continuing our Consumer Duty insight series, in part 4, Grath investigates how technology solutions aid firms in meeting consumer needs and ensuring positive outcomes, particularly concerning fair pricing and value.
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What’s New at Grath | Custom Columns & Fields Platform development What’s New at Grath | Custom Columns & Fields Great news! We've launched some enhanced features for our platform users.
 Grath partners with fscom to offer enhanced GRC solution 🤝 Customer Spotlight Grath partners with fscom to offer enhanced GRC solution 🤝 Grath and fscom will leverage their respective strengths to create a comprehensive suite of solutions that addresses the evolving needs of financial institutions within the regulatory environment. Continuing Consumer Duty insight series Risk & Compliance Consumer Duty | Part 3 | Consumer Support 💷😊 Continuing our Consumer Duty insight series, in part 3, Grath considers how firms can appropriately apply technology to the “four outcomes” and, in particular, how consumer support can benefit from technology solutions.

 Risk & Compliance Consumer Duty | Part 2 | Products & Services 💷😊 Continuing our Consumer Duty insight series, in part 2, Grath considers how firms can appropriately apply technology to the “four outcomes” and, in particular, how the product and service outcome can benefit from technology solutions.

 Risk & Compliance Consumer Duty | Part 1 | Consumer Understanding 💷😊 In a 5 part series, Grath examines how firms can leverage technology to ensure customers’ financial needs are met and improve their financial wellbeing under the new consumer duty principle, particularly in the context of the four outcomes:

• Consumer understanding
• Products and services
• Price and value
• Consumer support
Continuing Consumer Duty insight series Risk & Compliance The Outlook for UK Financial Services Firms in 2024 🗓️ A view of the dynamic regulatory landscape facing UK financial services firms in 2024 through Grath's lens, with a look back at insights from 2023.

We dive into key topics such as Consumer Duty, Operational Resilience, and Technology Risk, gaining a valuable perspective on how financial services firms are adapting to evolving regulations and leveraging technology to ensure consumer satisfaction and operational robustness.
 Custom Columns & Fields Platform development What’s New at Grath | Optimised Navigation and Enhanced Data Grids Great news! We are about to launch some enhanced features for our platform users. Continuing Consumer Duty insight series Risk & Compliance Automated Reconciliation Software 📝 Question time with Paul Wood:

The final insight in this 6-week series sees Grath's Industry Expert Paul Wood, answering some useful and informative questions, covering improving data quality, streamlining processes and implementing an automated reconciliation solution.
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