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Protecting Client Assets

The protection of client money and assets continues to be a high priority for both investors and regulators. The application of the FSA rules can be difficult, in the context of diverse business lines, complex processes and lengthening supply chains.

Senior executives and staff need to have a good understanding of principles, best practice and areas of risk in order to comply and to implement the optimum pragmatic solutions for their businesses and for clients.

Navigant's industry experts are positioned to offer insights into the latest Client Money and Asset issues.

Follow Karen Bond on Twitter here for her unique insights and opinions.

“While most firms are trying to comply, it’s all too easy, in the eyes of the FSA, to get the CASS Rules wrong. The application of generic rules to specific business situations, the need for a holistic governance and oversight framework and the impacts of business changes mean that there is room for error. The financial impact of regulatory action may be outstripped by the reputational and/or remediation cost. Navigant understands both the technicalities of the rules and the details of the real life operational processes to which they are applied. We can help you to get it right.”

- Karen Bond

Perspectives

Safety Starts with Knowing Where Assets Are Held

In this Financial Times article, Karen Bond, a Director in the Financial Services practice, asks the question, "What can be done to ensure assets are properly protected without ever more complex and costly regulation?"

 Article
Client Money Changes for SIPP Trustees

With plenty of other distractions during the current economic crisis, it may have slipped under some firms’ radars, but the recent changes to the FSA rulebook could mean some significant changes for trustees of Self-Invested Personal Pensions.

 Article
Navigant Advantage: Apply to Comply - Regulatory Requirements are in the Spotlight

In this issue we explore the implications of divergent audit and legal opinions for CASS Client Money policies – Karen Bond asks Client Money - Who do you Trust, and invites you to our Client Money Matters workshop at the Navigant office next to the Guildhall, just prior to the nearby TISA Conference on Wednesday 16th November.

 Link
Client Money – Acting on Principle or Counting the Pennies?

Everyone thinks they understand the principles of Client Money, but the rules are complicated.

 Article

Experts

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