CASS Rules Mapping Template (Excel)

The CASS Rules Mapping Template is a practical tool designed to help UK financial services firms maintain clear oversight of their compliance with the FCA’s Client Assets Sourcebook (CASS) rules. Delivered as an easy-to-use Excel (.xlsx) file, this template provides a structured way to map each relevant CASS requirement to your firm’s internal policies, procedures, and control activities.

For CASS Oversight Officers, compliance professionals, and risk managers, this template helps you:

• Identify applicable rules: It covers the key sections of CASS, including CASS 6 (Custody Assets), CASS 7 (Client Money), CASS 8 (Mandates), and CASS 10 (Resolution Pack).

• Record ownership and accountability: Assign roles and responsibilities for controls and reconciliations across your firm.

• Highlight gaps and enhancements: Use the mapping process to pinpoint areas for improvement or where new controls may be needed.

• Demonstrate governance: Maintain an up-to-date record that supports internal governance and external CASS audits.

The template includes pre-populated rule references and suggested categories, while remaining fully editable to fit your firm’s specific operating model and control framework. It’s ideal for creating a CASS Rule Mapping Document that meets regulatory expectations and simplifies compliance reporting.

Note: This resource is intended as a best practice tool and does not replace the need for tailored legal or compliance advice. Ensure your mapping is reviewed and updated regularly to reflect changes in your business activities or the CASS regime.