CASS - Managing Client Money and Assets

Eureka Financial
Course summary
1 day
620 - 650 GBP excl. VAT
Full time
Professional Training
Next available date: 19/08/2021 09:00 - Online courses
Course Dates
Online courses
620 GBP

Online courses
620 GBP

Online courses
620 GBP

Course description

The main objective of the CASS regulation is to provide adeqate protection for clients. The FCA set up high expectations as to how that protection should be provided and imposed strict sanctions in case of the breaches. The regulation has a big impact on asset management firms, banks and brokers affecting entire firms from operations and compliance to IT and customer relations. 

This very practical 1 day course conducted by an expert with over 20 years of experience within the sector will provide a thorough overview of the CASS regulation, its scope and requirements and prepare participants to effectively comply with it. You will learn about the principles of clents' money and asset protection, how to segregate and hold funds and keep records. You will also learn about the reporting requirements and how to set up all the processes and operations in order to stay compliant. 

Suitability - Who should attend?

The course is suitable for investment management companies, banks and firms providing supporting services and in particular professionals  from the following departments: 

  • Compliance
  • Autit
  • Operations 
  • Product Development
  • Risk Management
  • Accounts and Finance
  • Legal
  • Client Services
  • IT

Outcome / Qualification etc.

Course certificate on completion. 

Course content

  • The background to client asset protection
  • CASS rules, scope and significance
  • Defining client money and assets
  • Defining CASS firm
  • CASS Resolution Pack
  • Common issues with managing clients money and assets 
  • Record keeping and reporting requirements
  • Reconciliation requirements
  • Goverenance process


Online sessions: Price: Early Bird: £620, Regular price £650 + VAT. 

10% discount for 3 people. There is no VAT if you are based outside of the EU for virtual training. 

Classroom sessions: Early bird: £795 + VAT, Regular Price £920 + VAT.

About provider

Eureka Financial - Expert in Banking and Finance, Regulatory, Risk and Wealth Management Training.

Eureka Financial is a provider of banking, finance, regulatory, risk and wealth management training courses. We also offer some business management and soft skills training programmes. Based in London, UK, we organise public courses in London as well as tailored in-house...

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Contact info

Eureka Financial

22 A St Jame's Square
SW1Y 4JH London

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Average rating 5

Based on 4 reviews.

Head of Compliance, Punter Southall Group
Reaffirmed existing knowledge and enhanced it a lot. Great use of real life scenarios.
A.S., Business Controller, Swissquote, Switzerland
I feel prepared to deep dive into the rules of the FCA. You can see that the trianer is really passionate about this topic. He gave very interesting and useful real life examples.
S.A., Head of Legal, Sova Capital
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