CASS

Improve your CASS documentation and attestation process.

CASS rules require firms to maintain the resolution

pack and be able to retrieve specific documentation
either immediately or within 48 hours for
insolvency practitioners. The rules apply to all
investment firms that are subject to CASS Chapter
6 (Custody rules) or Chapter 7 (Client money rules)
and are intended to be a safeguard to reduce
the impact on clients in the event of a failure.

Preparing and maintaining immediately

retrievable documents poses many challenges.
CASS documentation requires the maintenance
of accurate links to agreements, records and
identifying documents. This requires immediate
document access and sound data governance
for information that is often scattered
across file servers, desktops and emails. May 19, 2018, 11:27 AM

Client asset oversight and control groups

must find ways to access data more quickly May 18, 2018, 1:45 PM

and improve confidence in data quality.

Wdesk is designed to connect people and
May 15, 2018, 5:34 AM
data around complex documentation and
reporting processes, bringing transparency,
speed and efficiency to CASS compliance. May 4, 2018, 5:48 PM

Increase data access and governance Reliable rules mapping

Firms must be able to provide documentation With Wdesk, firms can establish transparent
identifying who reviewed the CASS compliance rule mapping, whether it is between the TCM
documents, what they addressed and when and RCM, rules library or process maps. Be
the updates were made. Wdesk provides a confident the appropriate systems and controls
comprehensive and easily retrievable audit are in place to produce an accurate report at all
trail of all changes made throughout the times—making certain they align with the new
documentation process. assurance standards.

Simplify attestations Gain immediate accessibility

Wdesk helps establish repeatable steps for Wdesk streamlines the collection of records
an efficient, timely and transparent sign-off and allows contributors to establish a formal
process for monthly or quarterly attestations. approval process. The platform provides a
Assign various approval levels, automate reporting environment where contributors can
reminders and track certifications. A dashboard see how all data is connected across CASS
shows the status of each signer, so you can documentation and immediately retrieve
monitor the process and ensure it is completed information from it.
in a timely manner.
 About Workiva

Workiva delivers Wdesk, a leading enterprise cloud platform for data collaboration, reporting and compliance
that is used by thousands of organisations worldwide, including over 70% of the 500 largest U.S. corporations by
total revenue. Companies of all sizes, state and local governments and educational institutions use Wdesk to help
mitigate risk, improve productivity and gain confidence in their data-driven decisions. For more information about
Workiva (NYSE:WK), please visit workiva.co.uk.

History and audit trail Controls management

A history trail is automatically created and Document controls, automate workflow and
saved for every change in Wdesk. All edits collect documentation and evidence. Optimise
leave a record, providing greater transparency. testing and track requests, responses and
approvals utilising real-time dashboards.
Simplified information management
Data governance
Easily create, modify and connect narrative
information. Accelerate decision-making with Connect and link data across the Wdesk
powerful reporting and insights. Provide a platform. When last-minute changes occur to
consistent story across outputs to stakeholders documentation, users can trust that information
and regulators. is instantly updated across all instances without
any manual work.
Workflow and tasking
People, groups and security
Work better together. Assign and respond to
tasks in your data, documents and reports. Wdesk allows processes and content to coexist.
Create approvals, reviews, requests for Set access and permissions, so users see as
documentation or other tasks specific to your much or as little as necessary. Security scales
working group. to accommodate the demands of small teams or
full enterprises.
Always accessible
Version control
Whether working from a laptop, tablet or
mobile phone, immediately access information Everyone has access to the most up-to-date
when it is needed. documents. Wdesk eliminates check-out
systems, email trails and handwritten notes.
Easy to use
Trusted and proven partner
Wdesk is designed for business users and
requires little to no training. Familiar content Workiva is more than a vendor—we are your
types, such as documents, workbooks and partner for success. Join the over 3,000
presentations, are included in the platform. companies across 120 countries that trust their
data to Wdesk.

To learn more, visit workiva.co.uk/cass

workiva.co.uk | [email protected]

DS20180509-J34162
The information contained herein is proprietary to Workiva and cannot be copied, published, or distributed without the express prior written consent of Workiva ©2018.