CASS 8: Mandates Training Course

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them. Learn your responsibilities and how you can fully comply with the FCA's rules.

Our CASS 8: Mandates Course provides a high-level introduction to the information that you need to know to comply with the provisions of CASS 8: Mandates.

About this Course

Available as part of our FCA & Insurance Course Library.

Learning Objectives

This course will prepare your employees to:

Understand what a mandate is
Define the Financial Conduct Authority (FCA) conditions that create a mandate
Understand the regulatory requirements for record-keeping and internal controls

Course Outline

Introduction

What is the purpose of CASS?

- Key terms
- You decide: Client assets and money

What is a mandate?

- The FCA's definition of a mandate

What this means in practice

- Let's look at an example
- Summing up
- You decide: Is it a mandate?

Where do CASS 8 rules not apply?

- When does CASS 8 apply?
- You decide: What form should a mandate take?

Record keeping & internal controls

- What is contained in the register of mandates?
- Additional requirements

Our Firm's controls

- How long do we need to retain records for?
-Conditions and criteria
-You decide: Register of mandates

Summary

Affirmation

Assessment

Course Specifications

Structure

Approximately 25-minute long e-learning course followed by a 10-question assessment.

Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via a client style sheet.

Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.