Client Money & Assets (the CASS Regime) – Identify, Assess & Reduce Risks

BPP Professional Education
Course summary
6 hours
650 GBP excl. VAT

Course description

Client Money & Assets (the CASS Regime) – Identify, Assess & Reduce Risks

  With the Financial Conduct Authority (FCA) ever more pressing on firms over their handling of client money and custody assets, firms have to be fully on top of the obligations applicable to them. As FCA continues to review and update its requirements, firms need to keep pace with the moving target.

This course focuses on providing knowledge, understanding and insight in relation to the Client Money and Asset Sourcebook (CASS) as a document and as a body of regulation applicable to thousands of firms. This course specifically looks at Client Money, CASS 7, and Client Assets, CASS 6.

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Suitability - Who should attend?

Management, compliance and administration professionals whose companies are regulated by FCA and hold or control client money and/or custody assets, particularly

  • holders of the CASS operational oversight (CF10a) function
  • directors and senior management with client money responsibilities
  • staff or market participants with day-to-day responsibilities for the protection of client money and assets.

Training Course Content

Learning outcomes – the course will:

  • Explain why CASS implementation is relevant to the integrity of European financial markets
  • Clarify the regulatory risks and the expectations on firms to resolve them
  • Discuss related regulatory developments including changes to the accountability regime and the market in financial services directive (MiFID II)
  • Give insight into:
    • the regulatory concerns in relation to FCA client money and assets
    • CASS risks and key regulatory principles
    • the practical requirements and how to practically apply
    • the importance of getting it right on reconciliations
    • record keeping obligations and their significance
    • how to challenge effectively your firm’s CASS oversight framework

About provider

BPP Professional Education

BPP Professional Education -  Accountancy, Tax, Financial Services, Law & Insolvency Courses

BPP Professional Education is one of the specialist examination-based and professional development training arm of the BPP Group, Europe's biggest professional education and publishing provider with 2,000 staff members across 40 countries and over 30,000 students per year. BPP Professional Education...

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BPP Professional Education

3 London Wall Buildings
EC2M 5PD London

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