Course description
Encouraging CASS Compliant Organisations through Regulatory Awareness and Technical Know-how
This course is an in-depth 2-day workshop which aims to cover all the key areas impacted by CASS and how firms can best address some of the specific CASS challenges they face in their 'Business-as-Usual' Processes, Procedures and controls as they strive to mitigate the risk of non-compliance with the rules and potential loss to clients. This course aims to help firms to improve their CASS knowledge and awareness from a practical perspective; helping them to demonstrate an embedded CASS culture within the organisation in line with the FCA’s requirements.
This 2-day course will incorporate a blend of rule-based regulatory views combined with innovative practical break out sessions to help participants fully understand the complexities of CASS and the challenges and risks their respective organisations may face from a CASS perspective: whilst also providing the opportunity to group brainstorm solutions to such risks and challenges.
Early Bird Discount, Multi-Booking and Client Rates available.
This course can also be delivered in-house. Get in touch for more information.
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Suitability - Who should attend?
CASS-related Functions
- Operations (Settlements/Reconciliation)
- Treasury
- Client On-Boarding
- Legal
- Finance
Training Course Content
CASS in Context
- Definition of CASS and its origins within the regulatory framework
- FCA principles of business
- Key concepts relating to Client money rules including; Resolution, Recovery & return, Segregation, Traceability, Transparency
- CASS in the bigger regulatory picture
CASS Hot Topics
- Key challenges for firms in securing a robust CASS framework
- Impact of getting CASS wrong to your organisation, as well as providing insights into the potential wider impacts of Brexit in relation to CASS
CASS Applicability
- How, where and when CASS rules apply to your regulated business
- What constitutes collateral, client money and custody assets
- Where clients will have recourse to the client money protection and distribution rules
- Vital importance of reconciliation within the CASS Compliance strategy
Culture & Governance
- Overview of the roles & responsibilities across the lines of defence,
- Impact of the Senior Manager Certification Regime
- CASS Oversight
- Risks associated with using third party service providers and how to mitigate same
- Importance of detailed documentation and client disclosures
- Escalation and CASS breach management
- Training as a key component of a robust CASS Governance Framework and CASS Culture