Compound Growth

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Client Money & Client Assets

In recent years, the FCA has firmly placed the protection of client assets at the top of its regulatory framework, involving extensive changes, as well as substantial revisions to the custody rules in the Client Assets Sourcebook (CASS), including a rewrite of the client money rules for investment firms.

These changes are aimed at:

• improving a firm’s systems & controls around segregation
• record keeping
• reconciliations
• how client asset risks must be addressed by investment firms

Client Money Support & Compliance Assistance

Compound Growth can assist firms of all sizes to ensure they have the necessary procedures in place to remain compliant with the regulator’s rules pertaining to client money and client assets as set out in the CASS Sourcebook.

In particular we can support your firm in establishing suitable accounting systems as well as developing client money policies in line with industry best practice and the FCA’s guidance.

If you would like to discuss client money or client assets further, please feel free to contact us or email enquiries@compoundgrowth.co.uk