CASS

The aim of this course is to provide financial services professionals with the necessary knowledge and understanding of the CASS rules, including the regulatory requirements and best practices for compliance. The course is designed to help participants learn about the roles and responsibilities associated with CASS, and understand how to manage this complex area effectively. Additionally, the course will cover lessons learned from past CASS compliance failures, helping participants to identify and avoid common pitfalls.

The aim of this training course is to provide participants with an understanding of the CASS regime and the role they play in ensuring compliance with the regulatory requirements. Participants will gain an appreciation of the key principles of CASS and learn how to apply these principles in their day-to-day work. The course will provide practical guidance on how to monitor, support, advise, and audit the business's compliance with the CASS regime. By the end of the course, participants will have a clear understanding of their responsibilities and be equipped with the tools and knowledge to carry out their roles effectively.

To provide participants with a comprehensive understanding of the CASS Regime and the Certification Regime as it relates to CASS.
To equip participants with the necessary knowledge, skills, and tools to succeed as holder of the CASS Certification Function.
To enable participants to effectively discharge their prescribed responsibilities under the Certification Regime.

To provide participants with a comprehensive understanding of the CASS Regime and the Senior Manager Regime as it relates to CASS.
To equip participants with the necessary knowledge, skills, and tools to succeed as a CASS Senior Manager.
To enable participants to effectively discharge their prescribed responsibilities under the Senior Manager Regime.

To provide participants with a comprehensive understanding of the Client Assets Sourcebook (CASS) regulations and their importance in the financial services industry.
To enable participants to identify the key CASS operations processes and understand the roles and responsibilities of those involved in these processes.
To equip participants with the knowledge and skills necessary to effectively manage relationships with key stakeholders involved in CASS-related processes.