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CASS for Operations

Price £

365

+VAT

Duration

90 minutes

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

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.

Learn how to ensure compliance with the Client Assets Sourcebook (CASS) regulations in financial services operations. Identify key processes, roles, and relationships for success.

Learning Outcomes

  • Define the purpose and scope of CASS and explain its importance to operational success in the financial services industry.

  • Identify the key CASS operations processes, including those related to segregation, reconciliation, client money and asset protection, and understand how they relate to each other.

  • Explain the risks associated with non-compliance with CASS regulations, including the potential impact on clients, the firm's reputation, and regulatory consequences.

  • Describe best practices for managing relationships with key stakeholders involved in CASS-related processes, including clients, internal teams, and regulatory bodies.

  • Discuss case studies and lessons learned from past CASS-related failures and apply these lessons to their own work.

  • Understand their individual roles and responsibilities in relation to CASS compliance, and how to effectively collaborate with other stakeholders to ensure compliance.

  • Demonstrate an understanding of the reporting requirements for CASS compliance, and how to ensure accurate and timely reporting.

  • Identify areas for improvement in their own CASS-related processes and develop action plans to address these areas.

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

Learn how to ensure compliance with the Client Assets Sourcebook (CASS) regulations in financial services operations. Identify key processes, roles, and relationships for success.

About Your Trainer

Raj Rajani

Raj Rajani

Rajeshri is a Fellow Chartered Accountant with experience in Forensic Accounting and Expert Witness work in fraud and financial crime. Raj has worked on highly complex criminal cases with the FCA and SFO, as well as firm and individual regulatory miscondu

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