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Getting CASS Right | Leading from the Top

FourthLine Learning
Course summary
2 days
Full time
Edinburgh, London, Manchester
Professional Training

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

About provider

FourthLine Learning

FourthLine Learning

With over ten years experience helping organisations to build high performing risk and compliance teams, FourthLine Learning was launched to help risk professionals and teams to improve performance, navigate market complexities and make critical decisions more effectively. Our FourthLine Learning...


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Contact info

FourthLine Learning

60 Fountain Street
M2 2FE Manchester

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