CASS 15 Safeguarding Framework Review - Pangea Consulting

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Case Study : CASS 15 Safeguarding Framework Review

The client required a comprehensive review of its safeguarding framework to ensure compliance with CASS 15.

Client: FinTech Payment Firm

Challenges

Gaps in safeguarding governance, policies and documentation
Incomplete or undocumented processes across reconciliations and controls
Limited oversight of third-party risk, data quality, and safeguarding calculations
Need to establish a robust control environment aligned to FCA expectations

Our Approach

Assessment of safeguarding governance structures and accountability
End-to-end review of safeguarding processes and reconciliation frameworks
Control design evaluation and mapping to CASS 15 requirements
Gap analysis across policies, procedures, and operational controls
Stakeholder walkthroughs to validate practical implementation

Outcome

Risk Identification: Critical gaps across governance, reconciliation and controls
Enhanced Governance: Clear requirements for policies, oversight, and accountability
Control Improvements: Clear actions to strengthen reconciliation processes, data integrity and monitoring
Regulatory Readiness: Structured plan to meet FCA CASS 15 expectations
Sustainable Framework: Scalable safeguarding and control environment

Want To Learn More?

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