top of page

CASS for Support Functions

Price £

395

+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

This training course equips support staff in banks' Legal, Compliance, Monitoring, and Audit teams with the knowledge and tools to monitor, advise, and audit compliance with the CASS regime. Participants will learn the regulatory requirements, the three lines of defence, and best practices for scoping and managing CASS risks.

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.

Course Outline

The Client Assets Sourcebook (CASS) regime is a critical area of regulatory compliance for banks and other financial institutions. To ensure compliance with the CASS regime, firm's Legal, Compliance, Monitoring, and Audit teams play a vital role in monitoring, supporting, advising, and auditing the business's compliance with regulatory requirements.


Our training course provides participants with a comprehensive understanding of the CASS regime and their role in managing CASS risks. Participants will gain insights into the regulatory objectives of the CASS regime, the role of the three lines of defence, and the differences in regulatory expectations for small, medium, and large firms.


Our course will cover best practices for scoping and managing CASS risks, including risk-based scoping, sample selection, and testing methodologies. Participants will also learn why relying solely on external audits to manage CASS risks is insufficient and identify alternative approaches.


Throughout the course, participants will have the opportunity to apply their knowledge through interactive case studies, role-play, and practical exercises. They will also develop essential skills in effective communication and stakeholder engagement to manage CASS risks successfully.


By the end of the training course, participants will be equipped with the knowledge and tools to carry out their roles effectively and ensure compliance with the CASS regime. They will also have a clear understanding of their responsibilities and the regulatory framework within which they operate.

Required Knowledge and Skills

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.

bottom of page