The FCA continues to be concerned about the ability of firms’ to demonstrate they have sufficient resources, expertise and procedures in place to avoid client money/custody disasters and meet the requirements of the CASS Rules. Management and Compliance are expected to ensure they keep up to date with changes in the CASS requirements and are ready to react in case of need – this obliges ALL relevant personnel to understand the contents of the CASS rulebook.
Attendance on this course will enable you to:
- Describe the FCA Rules relating to Client Assets
- Assess the impact of the Client Assets Rules on the firm
- Benchmark current practices against what is required by the Client Assets Rules including CASS RP requirements
- Background and Purpose of CASS
- General Application: Who? What? Where?
- Firm classification and Oversight
- Client Money/Distribution
- Prime Brokerage
- CASS resolution pack
Course aimed at: Senior Management, CF10a, Compliance, Audit, Finance and Operations staff
This course can also be delivered as an onsite course or as an instructor lead course at a firm’s office.
If you would like to discuss your training requirements in more detail please contact Graham Dix on +44 (0)20 7484 3987 or your usual ACA consultant.
*Please note: A 20% discount is available when booking on the two CASS related course on the same day.