CASS: FCA's client assets sourcebook

Location:
Online course

Price: £30 + VAT


Online course

Book now with BPP


As with so many aspects of regulation, the FSA's Client Assets Sourcebook is being upgraded to take account of recent experience. Nevertheless, the changes are outweighed by the extent to which the basics, which have been in place for over 20 years, are the focus of regulators' attention due to widespread failure to comply with the obligations. Firms that have permission to hold client money and custody assets need to ensure that they have a full understanding of the requirements and that they adhere rigidly to them

What you will learn

  • The significance attached to CASS by FSA 
  • Prevalent problems and how to avoid them 
  • Related regulatory developments 
  • The structure of the CASS Sourcebook 
  • Record keeping obligations and significance 

Who should attend

Management, compliance and administration professionals whose companies are regulated by FCA and hold or control client money and/or custody assets.

View full event details

Content

  • Introduction and background 
  • Key obligations 
  • Client money  
  • Custody 
  • CASS firm classification 
  • Responsibility 
  • Notifications to FCA 
  • Other obligations  
  • Record keeping 
  • FCA themed visits and enforcement  
  • Future developments

Location

Online course

Contacts

BPP
Tel: 0330 060 3303
Email: ldicas@bpp.com

Topics

  • Training courses
  • Corporate and financial reporting
  • Online learning

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