Bring transparency, speed and efficiency to the CASS, FRC controls and SMR processes.

  • Improve data accessibility and governance

    CASS-regulated financial firms are required to maintain a client assets resolution pack with the ability to retrieve specific documentation immediately or within 48 hours. Workiva enables teams to effectively manage compliance activities through easily traceable and accessible reporting and documentation.

    One centralised platform

    The Workiva cloud platform is a single source for preparation, storage and control over CASS, Senior Managers Regime (SMR), and controls documents and activity. By managing all related materials in a centralised, accessible system, firms ensure compliance with all CASS 10 and SMR requirements.

    Retrieve documentation immediately

    Audit trail features provide clear evidence of material updates taking place and changes to roles and responsibilities. Export a full audit trail, compare versions and highlight changes throughout the documentation process. Add comments and assign tasks to contributors from within the reporting environment.

    Improve data accessibility and governance
  • Automate attestations

    Resolution packs must be in place from the moment a firm begins to hold client assets. A simplified and repeatable attestation process with Workiva ensures compliance and reduces the demands on CASS teams.

    Timely and transparent process

    Delegate attestation and approval using a standardised, repeatable and easy-to-monitor process. Assign specific approval levels, and track electronic sign-off and review of SMR governance.

    Improve transparency and monitor progress with a dashboard view into the status of each signer. Automate individual reminders to ensure timely completion.

    Automate attestations
  • Improve compliance and control

    Increased regulations require firms to align reports with new assurance standards. With Workiva, firms can be confident that the appropriate systems, rules mapping and controls are in place.

    Strengthen CASS governance

    The Workiva controls environment enables the documentation and implementation of FRC controls mapping, testing and assessments.

    Transparency into process ensures confidence in data and report quality. All CASS compliance documentation is housed in a single location to meet requirements.

    Improve compliance and control
  • Streamline process, reduce risk and cost

    Compliance reporting can be time-consuming with manual processes and legacy RegTech software. Workiva easily adapts to changing regulatory requirements and provides the history and audit trail into the creation and maintenance of the full CASS reporting process.

    Improve stakeholder visibility

    With Workiva, integrate data from existing systems and connect to required supporting documents and evidence. Stakeholders can develop a formal approval process and easily understand how data is connected across documentation.

    Automate process and workflow

    Add content or comments, and conduct reviews in a single active document with version control. Set access permissions so each user or line of business can access as much or as little information as necessary.

    Streamline process, reduce risk and cost
  • Timely and accurate CASS MI reporting

    Workiva brings teams together for real-time collaboration in an auditable platform environment. Firms can achieve greater transparency and oversight, driving better-informed business decisions.

    Streamline compliance

    Monthly CASS Management Information (MI) reports built within the Workiva platform allow you to easily monitor risk and show rolling data and attestation sign-offs.

    Improve oversight and transparency with direct data linkage flowing from testing, resolution and breach outcomes into MI packs. Track, monitor and disseminate data with an easily repeatable process that reduces reporting timelines and empowers management.

    CASS MI Presentation

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  • Workiva has helped us improve the quality of our work by simplifying our layouts, processes, data linking and especially, our collaboration. The application allows us to continuously improve how we operate and focus on our team's mandate.

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