Two Mercia content packs are available to assist with FCA client assets audit engagements. The first is for designated investment firms and the second is for mortgage and general insurance intermediaries.
Mercia FCA – Designated Investment Firms Manual (UK)
This Mercia content pack contains the current and permanent programmes your firm needs for FCA client assets (CASS) audit engagements for designated investment firms, in accordance with the FRC’s Client Assets Assurance Standard.
It also includes a programme to provide a limited assurance report in circumstances where the firm claims it does not hold client money or custody assets.
The pack contains:
Guidance notes
Example letters including engagement terms
Example CASS 7 assurance reports
Permanent file documentation
Current file documentation
To find out more, please contact us today.
Mercia Financial Conduct Authority (FCA) Mortgage and General Insurance Intermediaries (MGI) Manual for CASS Audits
This Mercia content pack contains the current and permanet file programmes needed to undertake an FCA client assets (CASS) audit engagement for a mortgage or general insurance intermediary, in accordance with the FRC’s Client Assets Assurance Standard.
The pack contains:
Guidance notes
Example letters including engagement terms
An example CASS 5 audit report
Permanent file documentation
Current file documentation
To find out more, please contact us today.