PIMFA
- This event has passed.
Preparing and planning for your next CASS audit is a complex, costly and a time-consuming process. There’s no magic bullet to solve this annual challenge, but measurable progress can be made to strengthen your framework and controls.
In this FREE 60-minute webinar we put three CASS experts under the spotlight to share their key strategies and approaches your firm can take in 2024 to ensure readiness for your next CASS audit.
Key discussion topics panellists debate include:
1. How your firm can complete a CASS audit in less time
2. Why CASS audit fees are rising and what you can do about it
3. The increasing role and importance of technology in your approach to CASS
4. What’s the upside of conducting a CASS health check
More about Katharine Leaman
Katharine is a regulatory compliance consultant within Leaman Crellin Limited with a background in both professional practice and the financial services industry. With over thirty years of experience in regulatory risk and governance within the banking, insurance, and distribution, financial services industries, including the FCA. She is a highly experienced compliance expert with an executive leadership background experienced in running compliance functions in banks and dealing with FCA requests and supporting banks in remediating issues identified by the regulators.
More about Priscilla Gaudoin
Priscilla is a certified compliance professional specialising in governance, risk management and compliance. With a career spanning 25+ years, she has previously worked as a consultant providing regulatory advice to firms from various FS sectors. She has also held senior management roles as the Chief Compliance Officer and MLRO.
Priscilla has significant experience in designing and implementing compliance processes and controls as well as risk management frameworks. She is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.
More about Chloe Arnold-Martin
Chloe is a Senior Manager at Bovill-Newgate providing clients with regulatory and compliance advice on CASS and safeguarding.
Before joining Bovill Newgate, Chloe was an external audit manager at PwC for both financial statement audits and CASS audits for a range of financial services firms. Her experience on CASS audits has covered a variety of product offerings and business models, exemptions and outsourcing arrangements. Chloe’s audit history has also provided experience with one-off transactions, system migrations and business model changes to give a breadth of scenarios impacting regulatory risks.
Chloe is an ACA BFP qualified chartered accountant with the Institute of Chartered Accountants in England and Wales (ICAEW) and has a BA (Hons) degree in Accounting and Finance.
