Professional Training

Getting CASS Right | Leading from the Top

FourthLine Learning, In Manchester (+2 locations)
2 days
2 days

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