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 covers the CASS and Senior Manager Regimes, providing participants with the knowledge and skills to succeed as a CASS Senior Manager and discharge their prescribed responsibilities effectively.
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.
Course Outline
Our training course provides a comprehensive understanding of the CASS and Senior Manager Regimes, tailored to anyone about to take on the prescribed responsibility for CASS under the Senior Manager Regime.
Participants will learn the key principles and requirements of the CASS Regime, including the purpose and scope of client money and asset rules, as well as the implications of the Senior Manager Regime for CASS Senior Managers, including the concept of prescribed responsibilities.
The course also covers the elements of a successful CASS framework, including governance, risk management, and operational controls, and develops effective strategies for managing CASS-related risks, including the identification and mitigation of operational and compliance risks. Participants will gain a practical and hands-on approach to understanding and succeeding in their roles as CASS Senior Managers, including the importance of effective communication, collaboration, and engagement with stakeholders, such as clients, regulators, and other internal and external parties.
By the end of the course, participants will have developed a practical action plan for discharging their prescribed responsibilities under the Senior Manager Regime, ensuring that they are well-prepared and confident in their new role.
Required Knowledge and Skills
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.
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.