Client Money & Assets (the CASS Regime) - Identify, Assess & Reduce Risks
How client money and assets are handled by FCA-regulated firms is a core focus for the Financial Conduct Authority, and the consequences of failure are severe...
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Client Money & Assets (the CASS Regime) - Identify, Assess & Reduce Risks papers
Client Money & Assets (the CASS Regime) - Identify, Assess & Reduce Risks
How client money and assets are handled by FCA-regulated firms is a core focus for the Financial Conduct Authority, and the consequences of failure are severe (both in terms of FCA penalties and reputation). The FCA continues to review and update its requirements, so firms need to keep pace with a moving target. This course focuses on providing knowledge, understanding and insight in relation to the Client Money and Asset Sourcebook (CASS) as a document and as a body of regulation applicable to thousands of firms. This course focuses specifically on the Client Money rules (CASS 7), and the Client Assets rules (CASS 6), looking closely at the requirements and the procedures that firms need to have in place to ensure compliance. This detailed introductory course seeks to provide a grounding in key CASS concepts, risks and regulatory requirements. It covers the following topics: Introduction to the CASS Regime Client Money Requirements (CASS 7) A Firm’s Responsibilities Client Asset Requirements (CASS 6) CASS Regulatory Reporting The Regulatory Landscape- No extra learning materials
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