Course description
Getting CASS Right | Leading from the Top
With continued focus from the FCA and the ever-expanding scope of the Senior Managers’ and Certification Regime (SMCR), the importance of CASS Culture and Governance is all too prevalent.
This purpose-built 2-day course aims not only to highlight to Senior Executives and Managers, the importance of embedding a CASS Culture through leadership from the top, but aims to provide such professionals with a step-by-step guide to facilitating same within the context of their respective organisation’s operational and business models. Incorporating real-life case studies, scenario-based challenges and break-out sessions, this course is designed to provide participants with a clear view of what exactly CASS Culture and Best Practice looks like and their role in achieving same.
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Suitability - Who should attend?
- Board Members
- CF10a / CASS Operational Oversight Officer / Operations Managers
- Senior Compliance Managers
Outcome / Qualification etc.
Learning outcomes:
- The CASS rules and where they fit within your organisation
- CASS roles and responsibilities – direct and indirect
- CASS at the Board level
- Lines of Defence and Separation of Functions
- Personal Accountability and Liability
- CASS Culture – Best Practice
- CASS Governance – Best Practice
- Key CASS Challenges
- The impact of the Senior Managers’ and Certification Regime
- Importance of Board engagement re: CASS
- CASS Resourcing
- Improve your ability to Interpret CASS rules and identify breaches
Training Course Content
Day 1 - Good practice governance
- Why CASS is important
- Why CASS is challenging
- The new SMCR regime
- CASS governance components
- CASS policies
- CASS risk management
Day 2 - Specific practical challenges
- Building the CASS team
- CASS rule interpretation
- Managing CASS audits
- Implementing effective reconciliation processes
- Issue and breach management
- Procedures documentation