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CASS – Managing Client Money and Assets

Wednesday, December 6, 2017 - 09:00
1 Day
Conducted by: 
Eureka Financial
Sam baker

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

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


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