Technology Solutions for CASS Challenges

FourthLine Learning
Course summary
Professional Training
1 day
799 GBP excl. VAT
Full time

Course description

Technology Solutions for CASS Challenges

This workshop looks in detail at the importance of developing reliable data sources and being able to access and utilise them appropriately. This workshop also seeks to provide participants with insights into available market solutions for the management of data, providing alternatives for the execution of timely and accurate reconciliations and practical guidance on the facilitation of same.

Benefits of attending:

  • Understand the various risk involved with implementing technological solutions, and the risks of not doing so
  • Make critical decisions around data and technology in relation to CASS
  • Navigate market complexity
  • Improve CASS compliance through the use fo data and technology
  • Learn how IT and CASS can work together
  • Acquire new tools, techniques, methods
  • Improve confidence through peer networking and how other firms are leveraging technological solutions

Multi-Booking and Client Rates available.

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

Suitability - Who should attend?

Who should attend:

  • IT
  • Operations
  • CASS Team (1st line of defence)
  • Compliance

Choose this course when:

  • Choosing new technological solutions
  • Moving away from manual controls for CASS functions
  • Improving processes, systems and technology
  • IT team responsible for implementing CASS technological solutions
  • Developing learnt responses to critical situations
  • Wanting to improve knowledge & awareness around data and technology
  • Developing desired behaviours within culture

Outcome / Qualification etc.

Learning outcomes:

  • Explore the risks associated with deploying and continuing to use manual controls in the performance of key CASS functions.
  • Understand the importance of working with effective operational processes, systems and technology.
  • Identify how to improve CASS Compliance through data and innovation led approaches.
  • Identify the critical constraints when deploying a technology led CASS Compliance Strategy and the challenges of harmonising technology solutions with operational reality
  • Explore how to leverage fit-for-purpose technology platform solutions within your CASS Compliance Strategy.

Training Course Content

  • Technology in Context
  • CASS and SYSC Systems and Controls
  • Technology as a facilitator of CASS Compliance
    • Automation
    • Segregation
    • Primary Controls
    • Secondary Controls: Reconciliation
    • Real-time
    • Report and Management Information Generation
    • Accessibility Traceability & Retrievability
  • Automation and a move away from spreadsheets
  • Record keeping/document repositories

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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