CASS – Managing Client Money and Assets
Eureka Financial Ltd
Summary
- Certificate of completion - Free
- Tutor is available to students
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Overview
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 and CASS rules, their scope and requirements, and prepare participants to effectively comply with them. You will learn about the principles of clients’ money and asset protection, how to segregate and hold funds and keep records. You will also learn about the CASS reporting requirements and how to set up all the processes and operations in order to stay compliant.
Main topics covered during this training- 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
- Governance process
Description
By the end of this course you will learn about:
- Recognise the FCA’s concerns regarding Client Assets
- Understand your firm’s responsibilities when handling Client Money
- Assess the practical implications of your firm’s Client Asset responsibilities
- Consider the effectiveness of your current processes in the light of the enhanced CASS regulation
- Identify the work required to comply with the CASS regulation
- Investigate the application of the FCA CASS rules, drawing on lessons learned and good industry practice
Who is this course for?
The course is suitable for investment management companies, banks and firms providing supporting services and in particular professionals from the following departments:
- Compliance
- Audit
- Operations
- Product Development
- Risk Management
- Accounts and Finance
- Legal
- Client Services
- IT
Questions and answers
Certificates
Certificate of completion
Digital certificate - Included
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Legal information
This course is advertised on reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.