Resources & Guidance

As we partner with you on your regulatory journey, our goal is to continuously add value to you through sharing knowledge and insights. These resources will guide you on some of the regulatory requirements you need to comply with and cover topical issues.

CASS Compliance

Is your firm CASS compliant?

We help clients with a wide range of topical issues, including:

  • Prudent segregation
  • Title transfer collateral arrangements - excess collateral treatment
  • DVP exemption
  • Banking exemption
  • Governance arrangements
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CASS 15 Readiness

Are you ready for CASS 15?

We can help you prepare for CASS 15, the topical issues firms are facing include:

  • Inadequate knowledge and awareness of the regulation
  • Lack of clear audit trails
  • Complex number of accounts/currencies/transactions
  • Inadequate processes and controls to safeguard customer funds
  • Lack of appropriate records in case of an insolvency
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Need Help With Regulatory Compliance?

Our team of experts is ready to help you navigate the regulatory landscape.

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