CASS 6 - Custody Rules
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30 Minutes -
For all staff
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UK
CASS 6 applies where a firm safeguards and administers custody assets, including safe custody investments and other assets held in the same portfolio for the same client. This 30-minute course explains how the CASS rules and guidance apply to holding client assets and covers the record keeping the FCA requires, along with the reconciliation and control expectations that support it.
Custody failures are usually discovered during a CASS audit rather than by the firm, and by then the breach may have persisted for months. Records and reconciliations are where the rules bite hardest. Training operations staff on why the requirements are so prescriptive reduces the number of qualifications in your CASS audit report and shortens the remediation that follows.
What you’ll learn in
this course
- Understand the CASS rules and guidance as they apply to holding client assets
- Keep appropriate records in accordance with the rules of the Financial Conduct Authority (FCA)
- Understand why reconciliations are important
- Appreciate the importance of robust policies and procedures
- Know what happens if our Firm gets it wrong
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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