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The Client Assets Sourcebook (CASS) journey

Author

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  • Boston, Gillian

Abstract

Ten years on from the financial crisis and the subsequent collapse of Lehman Brothers, the focus on Client Assets Sourcebook (CASS) has not waned — in fact, it remains high on the regulatory agenda. Why is this the case? Why is CASS not perceived to be a well-embedded regulation, and why does it continue to draw attention? If it was, surely PS14/9 (Review of the client assets regime for investment business) and the Financial Reporting Council’s (FRC) enhanced assurance standard would not have materialised. So what really has changed and what CASS challenges can firms expect to face in the latter half of 2018 and onwards into 2019?

Suggested Citation

  • Boston, Gillian, 2018. "The Client Assets Sourcebook (CASS) journey," Journal of Securities Operations & Custody, Henry Stewart Publications, vol. 10(4), pages 315-320, September.
    • Handle: RePEc:aza:jsoc00:y:2018:v:10:i:4:p:315-320
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    More about this item

    Keywords

    CASS; compliance; regulatory reporting; regulation; data management; financial control;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K22 - Law and Economics - - Regulation and Business Law - - - Business and Securities Law

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