CASS - Managing Client Money & Assets
Short course
In London
Description
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Type
Short course
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Location
London
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Class hours
8h
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Duration
1 Day
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 clients' 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.
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 regulation
- Identify the work required in complying with the December changes to regulation
- Investigate the application of the rules, drawing on lessons learned and good industry practice
Facilities
Location
Start date
Start date
About this course
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
You will receive course certificate on completion.
Reviews
Subjects
- Compliance
- Financial Compliance
- Regulations
- Fund Management
- FCA Compliance
- CASS
- Client Money and Asset
- Client Money
- Client Assets
- Assets
Teachers and trainers (1)
EF Faculty Trainer
Trainer
Course programme
The main topics covered include:
- 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
CASS - Managing Client Money & Assets