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Monthly Compliance Forum: CASS Update

May 16 @ 8:00 am - 9:00 am

Thursday 16th May 2024 | 08:00 AM – 09:00 AM | Webinar


The Compliance Forum is for all Heads of compliance, Chief Compliance Officers, and compliance staff, to build a network community and share insight, opinion, and experience. We bring in consultants to contribute to the discussion and share expertise.


CASS was established with the primary objective of providing better protection of client assets in the event of a firm’s collapse.  In this quarterly update, Raj Rajani (CASS specialist, Leaman Crellin) and Dina Devalia (IP specialising in FS regulated firms, Quantuma) discuss CASS from a distressed/formal insolvency scenario.  In particular, they discuss:

  • indicators leading to insolvency and/or distress
  • delivering on the objectives of CASS and the practical implications of non-compliance during an insolvency event
  • directors and senior managers duties
  • the practical challenges faced in dealing with a CASS insolvency


Raj and Dina delve into the nuances of CASS addressing practical questions that often elude the confines of the rulebook. There will also be an opportunity for attendees to ask questions of a practical nature.


To register to attend, complete the form below or email events@thebrokerclub.org.


Registrations are now closed for this event - contact events@thebrokerclub.org for more information



May 16
8:00 am - 9:00 am
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The Broker Club
Leaman Crellin



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