Webinar Information

This webinar will:

• Provide an update on the CASS regulatory landscape
• Prepare for your upcoming CASS audit and know what to expect from your CASS auditor
• For practitioners, plan your CASS audits for your clients
• Improve your knowledge of the CASS rules
• Understand the latest regulatory requirements – Update from the FCA in respect of CASS regulatory landscape
• Getting the Scoping right – It is fundamental to get the CASS scoping right by understanding the business model and the CASS footprint. Some of the key considerations include understanding of permissions, exemptions and changes in the year
• Enhancing the testing approach – The webinar will cover the expectations and challenges faced during audit testing in respect of walkthroughs, documentation of systems and controls and the robustness and integrity of the audit evidence

This webinar will help support you though the technical requirements around CASS audits. This is an area where there are specific requirements set out by the respective regulators and the event seeks to bring together the important points you need to understand to do a CASS audit.

Regulated firms will also benefit from the event to understand how their auditors will engage with them and to understand their expectations.

Costs

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This webinar is brought to you by the Financial Services (Banking, Insurance and Investment Management) Faculty.

For more information about Financial Services membership and our latest joining offers, please visit icaew.com/joinfsf. 

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Speakers:

Edward Westrip  - Mazars

Bio to follow

Mduduzi Mswabuki, Partner, Financial Services and Partner Sponsor, EY

Mduduzi is a Partner for EY UK with over 20 years’ experience in assurance and consulting practice. He is focused on helping clients in the Banking and Capital Markets sector to deliver on their regulatory and strategic priorities and to achieve their growth ambitions. Mduduzi is co-chair for Diversity and Inclusion and also the Partner Sponsor for the EY Race & Ethnicity Network (REN), a powerful forum for people to share their lived experiences with colleagues in a candid and honest way.
He is a chartered accountant and holds an accounting sciences degree from the University of South Africa.

Nicola Geraghty, Partner PwC

Nicola is a partner in the PwC National CASS specialist group and, within this role, leads our Banking and Capital Markets CASS practice. The National team runs our largest banking and asset management CASS audits as well as providing technical guidance and support to other audit teams across the UK. We also deliver CASS advisory projects across the sector.

Nicola currently leads a number of our largest CASS audits and has significant experience in understanding and advising on CASS rule applicability, documentation of processes and controls, and governance and oversight. She also represents PwC at the ICAEW working party for CASS and safeguarding.

Nicola has worked at PwC for 15 years and, before specialising in CASS, was a financial statement auditor with experience across listed and unlisted organisations in the asset and wealth management sector.

Jim Feasby, Interim Head of Resolution Strategy, Operations and CASS at Financial Conduct Authority

Bio to follow