FINTRAIL’s Post

During our 𝗦𝗮𝗳𝗲𝗴𝘂𝗮𝗿𝗱𝗶𝗻𝗴 𝗪𝗼𝗿𝗸𝘀𝗵𝗼𝗽 this week, we explored what evolving expectations under CASS 15 and the Supplementary Regime mean in practice; from reconciliations and resolution packs to wind-down planning and safeguarding audits. 𝗞𝗲𝘆 𝘁𝗮𝗸𝗲𝗮𝘄𝗮𝘆𝘀 🔹 Safeguarding remains fundamental to authorisation, regulatory confidence, and customer trust, and therefore to sustainable growth. 🔹 While safeguarding methods aren’t changing, firms must now demonstrate and evidence the effectiveness and accuracy of safeguarding measures through monthly reporting, independent audits, and clear governance. 🔹 Early preparation is essential, particularly for areas such as resolution packs, reconciliations, and wind-down planning ahead of the May 2026 go-live. 📊 Across the live polls, most attendees shared that they’re still in early analysis stages, but recognise that now is the time to act. FINTRAIL is here to support firms to:  ✅ Analyse the new rules and identify control gaps  ✅ Refresh safeguarding frameworks and assurance coverage  ✅ Prepare for audits and regulatory reporting If you’d like to discuss how we can help your firm get safeguarding right, please get in touch 📩 Colin Darby