Understanding CASS and Keeping Up to Date

Webinar Overview

The handling of client money and custody assets is a top priority for regulated firms. It is therefore essential that your staff have are fully aware of their obligations. As the FCA continues to review and update its requirements, all firms need to keep up to date with the current regulations. This course provides the background, knowledge and details of CASS in a concise and practical manner and will cover all key aspects of FCA’s client money and assets regime.

The course tutor is an industry CASS expert with extensive experience within the client assets space.

The content will include:

• The significance attached to CASS by FCA
• Applying and adhering to the requirements
• Potential  problems and how to avoid them
• Related regulatory developments
• The structure of the CASS Sourcebook
• The importance of getting it right on reconciliations
• Record keeping obligations and Reconciliations

Who should attend?

All staff working in regulated investment firms which deal with client assets should have an understanding of CASS. The course will therefore be of general benefit but in particular, will be of considerable value to:

• Finance Officers
• Current and prospective Compliance personnel
• Operations staff (in particular those working in the cash, ledgers, custody, nominees areas)
• Internal Audit
• 'Front Office' support staff 

CPD 

A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. This session will qualify for 3 CPD hours.