CASS Reporting and Compliance

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 governance.

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

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 CASS Audit requirements to internal controls, 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.

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.

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.