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CASS

Deepening your understanding of complex areas of regulation and  best practice standards

CASS, the FCA's Clients Assets Sourcebook is a cornerstone of the FCA's regulatory regime and sits alongside financial crime in terms of the priority FCA attaches to the regime. The circa 900 lines of rules that make up the regime are predominately about operations.

The very nature of protecting what belongs to clients means there is zero tolerance of any rule breaches. This creates an imperative to get CASS Compliance right and to set yourself up for success.

 

Below are details of the suggested curriculum for our more popular courses on CASS. To obtain prices and availability please complete our speaker request form.

Suggested Course Content

CASS for beginners

This course is for those who are relatively new to the CASS rules, or whose business has changed such that CASS compliance is becoming a more complex area to manage, as well as those who need a refresher.

60 minutes

This training usually covers:

  • Introduction to CASS

  • Who needs to comply with the requirements

  • What are the regulatory requirements

  • How things can go wrong and lessons learned

  • Roles and responsibilities best practice

CASS for Operations

This course is for people working in Operations who will either day to day, or occasionally operate all or part of a CASS-related process.

90 minutes

This training usually covers:

  • Introduction to CASS

  • Why complying is key to operational success

  • CASS operations processes

  • How things can go wrong and lessons learned

  • Roles and responsibilities best practice

  • Relationships you need to manage

CASS for support functions

This course is for those working in support areas such as Legal, Compliance, Monitoring, Audit who will need to monitor, support, advise or audit the business compliance with the CASS regime.

90 minutes

This training usually covers:

  • Introduction to CASS

  • What the regulator wants to achieve

  • The role of the three lines of defence

  • What the regulator expects from CASS small \ medium \ large firms

  • Why you should not be relying on the external audit

  • Top tips for scoping a CASS review or audit

Briefing for individual's taking on the CASS Senior Manager responsiblity

This is bespoke briefing for anyone about to take on the prescribed responsibility for CASS under the Senior Manager Regime

3 x 90 minutes

We propose three sessions comprising:

  1. The CASS Regime

  2. The Senior Manager Regime as it relates to CASS

  3. How to succeed as a CASS Senior Manager

 

Within these sessions we will provide very practical steps the individual can take to protect themselves, their regulated firm, the clients of their firm and their shareholders. 

We will discuss ​regulatory expectations as well as areas that the individual could focus on for the benefit of the business.

Briefing for individual's taking on the CASS Certified Person responsibility

This is a short series aimed at those who are taking on the responsibility for CASS as holder of an FCA Certification Function

3 x 90 minutes

We propose three sessions comprising:

  1. The CASS Regime

  2. The FCA Certification Regime as it relates to CASS

  3. How to succeed as a CASS Certification Function Holder

Within these sessions we will provide very practical steps the individual can take to protect themselves, their CASS SMF holder, the clients of their firm and the regulated firm.

We will discuss how to manage the day to day oversight without having first line responsibility, meeting ​regulatory expectations and how to handle certain situations that can arise.

Can't find what you were looking for?

Let us know and we can discuss tailoring a course just for you.

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