Where CASS Oversight Comes Together
Building a CASS framework platform with the FCA Handbook at its core.
CASS Compliance driven by simplicity
The CASS Handbook, regulated by the Financial Conduct Authority (FCA), is designed to protect client money in the case of a firms failure. In an ever changing and complex world, management of the CASS risk is getting more complicated.
ReguLore, is a build to test what can be managed in one place, to give the best oversight for CASS. As firms have different structures and approaches, ReguLore is flexible to the demands of the users.
The aim is for the CF / SMF to view all details and assess their CASS risk in one place and have the ability to deep dive where issues arise.
1
A direct link to the FCA Handbook
The first step is working out which CASS rules apply to your firm. By filling out a questionaire, the platofrm records which rules are applicable. Each decision made can be logged and commented on to provide evidence as to the decision being made. At the end, a list of applicable rules is produced.
2
Assess CASS Risk
The Applicable Rules are then linked to controls, you can create as many as you want with a many to many relationship being held between rules and controls. The controls have sections for reviews, evidence and linking to breaches.
3
Monthly Risk Assessment
Overseeing the CASS position, Regulore gives the ability for a monthly assessment of the current CASS position. TO be signed off by the CF / SMF and then easily logged and then exported.
Andy Dinnage
With 10 years CASS experience, I have worked from both an operational and oversight capacity of CASS.
I started the project to develop my knowledge and skills, not just of CASS but project management, software development and architecture.
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Additional Features
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Change Management
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Horizon Scanning
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Resolution Pack management
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Calendar of Actions
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Monitoring
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Set your own tolerances