PIMFA
The Faculty
Our faculty of CASS experts and CASS auditors over five months help you build and maintain a fit-for-purpose CASS Control Framework that provides a complete picture of your firm’s unique CASS risks and a detailed understanding of how to manage the CASS Risks.
The Cass Clients Academy (CCA) is developed and taught by former regulator and Head of Regulatory Compliance, European for Standard Chartered bank, Katharine Leaman who supported by a team of senior CASS practioners, CASS auditors alongside the FCA, bring a wealth of CASS experience, insights, consulting, and battle tested research to address the complex challenges facing CASS firms.
Katharine Leaman – Faculty Leader
Katharine Leaman is a former regulator who has worked in financial services for thirty years in regulation, insurance, distribution, and banking at Executive Director level. Katharine has had responsibility for the European regulatory compliance function at a major international bank balancing global standards with local obligations.
Katharine has expertise in technical areas of the rules such as CASS, SMCR and Outsourcing. As well as issues that have a broader regulatory focus such as market conduct, non-financial misconduct, conduct risk, operational resilience and consumer duty.
Priscilla Gaudoin – Contributor
At Ruleguard, Priscilla is responsible for the Thought Leadership Programme, where she writes regular articles & white papers and hosts webinars on a variety of regulatory matters.
Priscilla is a certified compliance professional specialising in governance, risk management and compliance. She is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.
With a career spanning 25 years, Priscilla has worked as a consultant providing regulatory advice to firms from across the FS industry. She has also held senior management roles as the Chief Compliance Officer and MLRO.
Priscilla has significant experience in designing and implementing compliance processes and controls as well as risk management frameworks. She has managed various projects from authorisations & change in controllers to preparing for regulatory visits and thematic reviews. Her guidance has helped firms to implement regulatory changes such as MiFID, GDPR, SM&CR.
