TISA 10th Annual CASS Conference 2024

Dennis is the Principal & Founder of Gladius Assurance Services, with over 18 years of experience advising the financial services sector on regulatory matters. Before founding Gladius, he was a Partner at a Big-4 firm, who led their Client Assets, Safeguarding, Payments and Digital Assets Assurance practices. At Gladius, he is a trusted advisor with deep hands-on expertise in CASS, Safeguarding, FSCS and Internal Controls. He supports clients with regulatory and business change, s166 and V-REQ remediation, deep-dive reviews, and practical regulatory training. His sector coverage and experience spans banking and capital markets, wealth platforms, fintech, payment / e-money firms and insurance brokers.

Stewart has over 20 years of experience in financial services, specialising in client assets (CASS) compliance. He is currently a Board member, Director and Head of Operations Control where he is responsible for ensuring the operational effectiveness of the systems and controls that safeguard the firm's compliance with CASS regulations.

Roberta is the Interim Head of CASS for Money Box. A chartered accountant trained at PwC, where she worked for 10 years. Worked in External and Internal audits and CASS advisory. Roberta been a CASS specialist for the last 12 years.

Amarjit is a Partner at EY, leading EY’s extended assurance offerings in Wealth & Asset Management sector. He has worked with a wide range of clients from global asset managers and their funds through to investment trusts, private equity houses and hedge fund managers on variety of assignments from traditional audits to internal control reviews as well as s39/s166 FSA/FCA engagements. He spent four years in various roles at J.P. Morgan Asset Management before re-joining EY as a partner in 2008. Currently he is responsible for a number of Ernst & Young’s largest wealth and asset management clients and also provides regulatory assistance especially advising asset and wealth managers on CASS, MiFID II, CRD IV, Suitability and Solvency II. He chairs the ICAEW’s Investment Management Committee and represents EY at the FRC and FCA on CASS matters. Amarjit is an active supporter of the Diversity & Inclusiveness programme at EY and is the chair of the EY Sikh Network. He leads our engagement with clients on their D&I initiatives in the Financial Services industry.

Kiran is a Partner at Deloitte in the Client Assets & Safeguarding Assurance team. Kiran works primarily with Investment Management & Wealth firms and more recently with the Insurance sector. Kiran has worked with a broad range of IM & Wealth clients, ranging from global asset managers through to private equity firms. Kiran also leads on some of Deloitte’s largest Insurance Broker CASS 5 engagements. Throughout her tenure, Kiran has supported firms on regulatory matters with a focus on Client Assets, risk, governance and controls reviews. Most recently Kiran has supported firms in a variety of CASS transformation projects. Kiran is also the Inclusion & Diversity lead for Assurance within Deloitte.

Edward has worked for the last 15 years in the financial services practice at Mazars. He has focussed his regulatory work on CASS with clients across multiple sectors and business models. He is responsible for Mazars’ policies and the practical aspects of developing methodology, the training of staff and internal ‘licensing’ of staff for CASS related work. Edward represents Mazars at the ICAEW CASS and Safeguarding working party.

Katy holds the Head of CASS Operational Oversight role at T. Rowe Price, overseeing a medium sized CASS firm and a further limited assurance CASS firm. Katy has over 10 years’ experience in the financial services industry. She initially started her career as a financial statement auditor at Big 4 firm, Deloitte. She later moved in the regulatory assurance team at Deloitte, specialising in CASS external and internal (co-source) audits and wider CASS assurance reviews within the investment management sector.

As Director of Risk and Technical Policy at TISA, Lisa has emerged as one of the leading voices in Consumer Duty, having brought together the industry to produce a comprehensive Best Practice Guide, and currently working to bring about a standardised framework for data sharing across the distribution chain. Lisa also leads TISA work on vulnerability, an area which she is particularly passionate about, having had lived experience. Lisa is an experienced outsourcing, risk and CASS specialist with over 25 years’ experience in financial services, with a particular focus on client protection. She has held senior roles encompassing oversight of outsourced delivery of services within the asset management sector to both retail and professional clients, and held the role of CF10a, an FCA approved role responsible for compliance to Client Asset Protection. Prior to this she held senior roles in a large outsourcing service provider, including as a Lead Client Relationship Manager responsible for delivering services appropriate for a regulated firm, and leading large operational finance teams based in the UK and India. She has significant experience in implementing oversight and risk management frameworks to effectively identify and manage the risks associated with outsourcing and offshoring regulated activities. During her time as a CF10a, she took a key role in a joint client/service provider remediation programme, gaining valuable experience and insight into meeting the regulators expectation in relation to service providers performance, and regulated firms oversight of its outsourcing arrangements. She has a breadth of regulatory knowledge, in particular with a deep understanding of SYSC; CASS; COBs; COLL; MiFID; and MiFID II and is accomplished in assisting senior managers to Board level in understanding regulatory obligations