Corporate Training for Teams

Embedding CASS Culture through Robust Governance

FourthLine Learning, Nationwide
1 day
Next course start
Enquire for more information See details
Course delivery
In Company
1 day
Next course start
Enquire for more information See details
Course delivery
In Company

Course description

Embedding CASS Culture through Robust Governance

Focussed across the lines of defence, this workshop aims to provide a practical and in-depth knowledge base around what CASS culture and robust governance looks like from having the right documentation, policies, procedures and controls in place to determining CASS breaches and their root causes to interacting with the FCA and having the right framework in place to appropriately oversee those functions outsourced to third party provides.

  • Understand the definition of CASS culture
  • Identification of actual cultural dynamics impacting CASS
  • Gain an overview of culture risk assessment
  • Learn how to implement CASS culture by design

In-house training options

Bespoke - we work with you to develop and deliver bespoke training courses to meet all your objectives. We develop the course and reference materials which can be delivered on a rolling basis or as a unique event, depending on your requirements.

Tailored – If one of our courses already meets the majority of your needs, but requires specific tailoring for a particular group of employees, we can tailor the material and delivery to ensure all the learning outcomes are met.

Standard – your requirements are already met by one of our courses, but you would prefer the course to be run in-house for a number of people.

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Upcoming start dates

1 start date available

Enquire for more information

  • In Company
  • United Kingdom
  • English

Suitability - Who should attend?

  • CF10a’s
  • Operations (CASS Team)
  • Compliance
  • Internal Audit

Training Course Content

Roles & Responsibilities

  • Lines of Defence
  • Role of the CF10a
  • SMCR
  • Responsible CASS Individuals


  • Review and sign-off internal policies and procedures, ensuring the correct and up-to-date documentation is in place
  • Breach /Near Miss Management /Review / determination / Escalation /Root cause analysis
  • Immediately Reportable Breaches: Interacting with the FCA
  • CASS Governance / Oversight Committee
  • Annual Attestations to Board
  • External Annual CASS Audit
  • 3rd Party Oversight
    • Outsourcing
    • Offshoring
    • Custodians
    • Transfer agents
    • Platforms
    • Due diligence
    • Aviva