Demystifying CASS Governance | Workshop


FourthLine present an opportunity to attend an intimate workshop facilitated by a leading Subject Matter Expert from the Financial Industry and discuss best practice around a range of challenging regulatory initiatives impacting the global financial system.

Expert Facilitator: Johann Parkhill | External CF10a | CASS & Regulatory Specialist

Graduating in Law from Trinity College Dublin, Jo has 19 years experience working within top-tier Global Financial Institutions within Investment Banking, Investment Management and Asset Management, and across Front Office, Compliance, Risk Management and Operations. Since 2009, Jo has facilitated the implementation of many regulatory change programmes: Lehman Supreme Court Ruling, FSA Disclosure Annex, CASS RP; PS 14/9; MiFID II CASS impact; FRC Assurance Standard; PSD II, and multiple CASS Audits, as well as conducting major CASS remediation programmes of work. Jo is currently CF10a to a leading Peer-to-Peer form as well as being the regulatory and CASS specialist consultant to a number of firms including Societe Generale and Cashfac Technologies.

More recently, Jo has been the CF10a & UK Head of Transfer Agency for UBS AM (UK Limited) and UBS AM Funds Limited and Recently led  a CASS Transformation programme at Emirates NBD.

Jo has also managed Prime Brokerage Client OnBoarding and has facilitated regulatory change programmes of work around EMIR, Dodd Frank, legal Entity Identification, MiFID I & II; PSD I & II, and GDPR. A wealth of experience and expertise, Jo focuses on eliminating silos in favour of holistic solutions that combine commercialism, pragmatism, interconnectivity and regulatory knowledge. Jo facilitates solutions that are strategic and scalable in nature, focussing on root causes, as opposed to quick fix tactical solutions that quickly become unfit for purpose.

Attending this workshop will enable you to:

  • Improve your Cilent Asset Governance Structure and Target Operating Model Design
  • Understand what the regulator's expectations are in relation to CASS governance
  • Understand what good governance looks like through exploring case studies and industry best practices
  • Walk away with a fit-for-purpose skeletal CASS governance framework 

Who Should Attend:

  • CASS professionals 

If you would be interested in finding out more about the event or booking your place, then please get in touch with our Advisory team at [email protected] or call   0203 854 2339  .

Event Details:

Date: Thursday 9th May, 2019
Venue: London
Time: 09:30 – 17:30

Price (Delegate - Bespoke Package): £799 +VAT | Client: £649 +VAT

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