CASS 10 - CASS Resolution Pack
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25 Minutes -
For all staff
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UK
A CASS Resolution Pack contains a defined set of documents intended to speed up the return of client money and assets if a firm fails, and firms must maintain one where CASS 6 or CASS 7 apply to them. This 25-minute course explains why a resolution pack is needed, lists its contents and the requirements for retrieving documents, and covers the governance that keeps it current.
The pack is only useful if documents can be retrieved within the required timeframe, which is a test firms rarely run until an audit forces it. Contents drift as systems and counterparties change. Training the staff who own the underlying documents keeps the pack accurate, and turns a compliance artefact into something that would actually work in the situation it was designed for.
What you’ll learn in
this course
- Understand the need for a CASS RP
- List the contents and requirements for the retrieval of documents for the RP
- Appreciate the importance of good governance
- Understand the Financial Conduct Authority (FCA) current supervisory approach and what happens when firms do not protect their customers' monies and assets
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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