Encouraging CASS Compliant Organisations through Regulatory Awareness and Technical Know-how

FourthLine Learning
Course summary
Professional Training
2 days
1,400 GBP excl. VAT
Full time

Course description

Encouraging CASS Compliant Organisations through Regulatory Awareness and Technical Know-how

This course is an in-depth 2-day workshop which aims to cover all the key areas impacted by CASS and how firms can best address some of the specific CASS challenges they face in their 'Business-as-Usual' Processes, Procedures and controls as they strive to mitigate the risk of non-compliance with the rules and potential loss to clients. This course aims to help firms to improve their CASS knowledge and awareness from a practical perspective; helping them to demonstrate an embedded CASS culture within the organisation in line with the FCA’s requirements.

This 2-day course will incorporate a blend of rule-based regulatory views combined with innovative practical break out sessions to help participants fully understand the complexities of CASS and the challenges and risks their respective organisations may face from a CASS perspective: whilst also providing the opportunity to group brainstorm solutions to such risks and challenges.

Early Bird Discount, Multi-Booking and Client Rates available.

This course can also be delivered in-house. Get in touch for more information.

Suitability - Who should attend?

CASS-related Functions

  • Operations (Settlements/Reconciliation)
  • Treasury
  • Client On-Boarding
  • Legal
  • Finance

Training Course Content

CASS in Context

  • Definition of CASS and its origins within the regulatory framework
  • FCA principles of business
  • Key concepts relating to Client money rules including; Resolution, Recovery & return, Segregation, Traceability, Transparency
  • CASS in the bigger regulatory picture

CASS Hot Topics

  • Key challenges for firms in securing a robust CASS framework
  • Impact of getting CASS wrong to your organisation, as well as providing insights into the potential wider impacts of Brexit in relation to CASS

CASS Applicability

  • How, where and when CASS rules apply to your regulated business
  • What constitutes collateral, client money and custody assets
  • Where clients will have recourse to the client money protection and distribution rules
  • Vital importance of reconciliation within the CASS Compliance strategy

Culture & Governance

  • Overview of the roles & responsibilities across the lines of defence,
  • Impact of the Senior Manager Certification Regime
  • CASS Oversight
  • Risks associated with using third party service providers and how to mitigate same
  • Importance of detailed documentation and client disclosures
  • Escalation and CASS breach management
  • Training as a key component of a robust CASS Governance Framework and CASS Culture

About provider

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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