Case Study : CASS 15 Safeguarding Framework Review The client required a comprehensive review of its safeguarding framework to ensure compliance with CASS 15. Speak To An Expert 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, […]
Case Study : External CASS Training The client sought to strengthen CASS culture, Consumer Duty and governance through independent expert-led training Speak To An Expert Client: Private Bank Challenges Limited variation in internally delivered CASS training Over-reliance on a single-firm perspective and in-house experience Reduced external challenge to assumptions and legacy processes Need to strengthen […]
Case Study : External CASS Training The client sought to enhance their approach to CASS, Consumer Duty and contractual negotiations through targeted expert support. Speak To An Expert Client: Private Bank Challenges Reliance on existing in-house experience and perspectives Lack of external perspective to test and validate internal practices Need for independent insight to strengthen […]
Case Study : CASS & Consumer Duty Training The client sought to embed Consumer Duty, SM&CR and CASS through tailored, practical training. Speak To An Expert Client: FinTech Payment Firm Challenges Embedding Consumer Duty, SM&CR and CASS across a fast-growing fintech Clarifying accountability for customer outcomes and client assets Need for practical, joined-up regulatory training […]
Case Study : CASS 15 Reconciliation Vendor Assessment The client sought to assess the suitability of a third-party provider to deliver CASS 15 internal and external reconciliations Speak To An Expert Client: FinTech Payment Firm Challenges Limited clarity over the provider’s reconciliation methodology and controls Uncertainty around data integrity, system configuration, and Safeguarding calculations Lack […]
