CASS - Managing Client Money & Assets

Eureka Financial

Short course

In London

£ 950 + VAT

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Description

  • Type

    Short course

  • Location

    London

  • Class hours

    8h

  • Duration

    1 Day

Learn about CASS Regulation

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

London
See map

Start date

On request

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.

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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

EF Faculty Trainer

Trainer

Course programme

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.
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

See related categories

CASS - Managing Client Money & Assets

£ 950 + VAT

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