We can run this course inhouse or privately just for you and your colleagues.
Please submit a training request to check availability and prices.
About the Course
Learn how to ensure compliance with the Client Assets Sourcebook (CASS) regulations in financial services operations. Identify key processes, roles, and relationships for success.
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.
Course Outline
The Client Assets Sourcebook (CASS) regulations are critical for ensuring the protection of client assets in the banking industry. This training course is designed to provide operations professionals with a comprehensive understanding of CASS operations processes, roles and responsibilities, and relationships that are key to ensuring compliance and operational success.
Through interactive exercises, case studies, and discussions, participants will gain a thorough understanding of the purpose and scope of CASS regulations, and how non-compliance can impact clients, the firm's reputation, and regulatory consequences. Participants will learn best practices for managing relationships with key stakeholders involved in CASS-related processes, including clients, internal teams, and regulatory bodies.
Our course covers key CASS operations processes related to segregation, reconciliation, client money and asset protection, and how they relate to each other. Participants will also learn about the reporting requirements for CASS compliance and how to ensure accurate and timely reporting.
By the end of the course, participants will have a solid understanding of their individual roles and responsibilities in relation to CASS compliance, and how to effectively collaborate with other stakeholders to ensure compliance. They will also be able to identify areas for improvement in their own CASS-related processes and develop action plans to address these areas.
Required Knowledge and Skills
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.
About Your Trainer
Raj Rajani
Rajeshri isn't your average trainer. For over three decades, she's been a financial guardian, wielding her expertise as a Chartered Accountant to ensure client assets are protected. Her career has seen her navigate the ever-changing landscape of financial regulations, particularly the FCA's CASS rules.
Having honed her skills at leading firms like Price Waterhouse, Rajeshri brings a wealth of practical experience. She's tackled complex situations, from safeguarding client funds in high-profile investigations to advising firms on robust CASS compliance procedures. Her work with the SFO and FCA means she understands the regulatory landscape from both sides, giving you invaluable insights into best practices.
But Rajeshri isn't just about theory. She's built and run her own successful accounting practice, where safeguarding client assets was paramount. This hands-on experience allows her to translate complex regulations into practical solutions you can implement immediately.
Now, Rajeshri shares her expertise in the training room. This isn't a dry recitation of rules; it's a dynamic workshop informed by real-world challenges. You'll gain a deep understanding of the CASS rules, practical strategies to mitigate risk, and the insider knowledge to identify potential breaches before they happen.
Don't miss this opportunity to learn from a seasoned professional with a proven track record in protecting client assets. Rajeshri's training is an investment in the future of your firm's compliance and client trust.