CASS 6 - Custody Rules

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets. These assets include safe custody investments and any other assets that are held in the same portfolio for the same client. Our CASS 6: Custody Rules training course provides a high-level introduction to the rules and guidance surrounding the safe custody of client assets.

30 Minutes
For all staff
FCA Compliance Library

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

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Data Protection

In-depth 45 Minutes Data Protection (GDPR) For all staff

Data protection relates to how all organisations collect, use, and store personal and sensitive data.

Preventing Sexual Harassment

In-depth 30 Minutes Preventing Harassment For all staff

Companies rightly have a zero-tolerance policy for sexual harassment, and violations may lead not only to disciplinary action but also to perpetrator prosecution.

Anti-Bribery Training

In-depth 30 Minutes Bribery Prevention For all staff

Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.

Equality and Diversity in the Workplace

In-depth 20 Minutes DEI For all staff

Making employment decisions or treating people differently based on stereotypes isn't just bad for business; it's illegal.

Anti-Money Laundering and Counter-Terrorist Financing

In-depth 30 Minutes Financial Crime For all staff

To prevent criminal activity, nearly all countries in the world have committed themselves to extremely tough laws against money laundering and terrorist financing.

Information Security

In-depth 35 Minutes DORA For all staff

The security of client and internal information is critical for businesses.

Modern Slavery

In-depth 30 Minutes ESG For all staff

Modern slavery is a serious crime with harsh penalties.

Fraud Prevention

In-depth 35 Minutes Fraud Prevention For all staff

Fraud can have grave consequences for companies, employees, and customers.

Anti-Money Laundering [Financial services version]

Refresher 15 Minutes Financial Crime For all staff

To prevent the proceeds of crime from finding their way into the formal economy, most countries have extremely tough laws with severe penalties.

Cybersecurity

Express 20 Minutes Cybersecurity DORA For all staff

Most businesses conduct some or all of their operations using digital media.

Bribery Prevention

Refresher 15 Minutes Bribery Prevention For all staff

Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.

Working Safely

In-depth 45 Minutes Health & Safety For all staff

Awareness of health and safety procedures can prevent injuries and save lives.

Preventing the Facilitation of Tax Evasion

In-depth 30 Minutes For all staff

Tax laws don't only apply to those who calculate or manage taxes.

Financial Sanctions

In-depth 45 Minutes Financial Crime For all staff

Financial and economic sanctions are binding prohibitions applied by governments to prevent business transactions with certain designated persons.

Market Abuse Regulation

In-depth 45 Minutes For all staff

The laws and regulations prohibiting market abuse apply to all employees, not only those engaged in front-office, client dealing or trading roles.

Bribery Prevention

In-depth 30 Minutes Bribery Prevention For all staff

Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.

Phishing

Express 15 Minutes Cybersecurity DORA For all staff

It's essential for your employees to know what phishing is, how to spot the signs of an attempt and how to protect themselves and your Company.

Fire Safety

In-depth 20 Minutes Health & Safety For all staff

Educate your staff on the fire safety controls your Company has in place and the measures they need to take to reduce the risk of fire where you work.

Preventing the Facilitation of Tax Evasion [Financial services version]

Refresher 15 Minutes For all staff

Tax laws don't just apply to those who deal with calculating or managing taxes.

Healthy Working

In-depth 45 Minutes Health & Safety For all staff

There are risks to your physical and mental health and wellbeing wherever you work.

Gifts and Hospitality

Express 15 Minutes Bribery Prevention For all staff

Gifts and hospitality are an important part of business, and companies worldwide employ this.

Digital Operational Resilience Act (DORA)

In-depth 25 Minutes DORA For all staff

The Digital Operational Resilience Act (DORA) is a regulatory framework set by the European Union to enhance the cybersecurity and operational resilience of financial institutions.

Mental Health at Work

In-depth 15 Minutes Health & Safety For all staff

Stress, anxiety and depression are serious health hazards in the workplace.

Information Security

Refresher 20 Minutes Cybersecurity DORA For all staff

The loss or theft of commercially sensitive information may damage revenues, reputation and consumer trust.

Embargoes and Sanctions

In-depth 45 Minutes Financial Crime For all staff

Embargoes and sanctions prohibit all transactions with an entity, trading of certain commodities, or supplying critical goods.

Working Safely

Refresher 15 Minutes Health & Safety For all staff

Employees need to know how to protect their own health, safety and welfare as well as ensuring they don't cause harm to others.

Customer Due Diligence

Express 10 Minutes Financial Crime For all staff

Customer Due diligence is a legal requirement and plays a vital role in protecting your Company.

Safeguarding the Vulnerable

In-depth 45 Minutes ESG For all staff

Certain individuals may be unable to care for or protect themselves due to a mental illness or disability, age or other factors.

Preventing Sexual Harassment for Managers

In-depth 40 Minutes Preventing Harassment For managers

The new duty to prevent sexual harassment in the UK will be enforceable by employment tribunals, allowing for increased compensation for victims by up to 25% if an employer fails in their duty.

Anti-Competitive Agreements

Express 10 Minutes For all staff

Any agreement between companies that restricts market competition is a criminal offence.

Good Outcomes for Vulnerable Customers

In-depth 30 Minutes For all staff

Companies have a legal obligation to identify the signs of vulnerability and ensure that vulnerable individuals are treated fairly.

Overview of the Consumer Duty

In-depth 30 Minutes For all staff

The FCA's Consumer Duty is a new standard which addresses the conduct of firms.

Whistleblowing in Financial Services

In-depth 15 Minutes For all staff

Our Whistleblowing training course educates employees on reporting misconduct safely and ensures protection.

Complaints Handling

In-depth 40 Minutes For all staff

The FCA has identified that the number of complaints submitted in the financial services sector has increased year on year in recent times in the UK.

Treating Customers Fairly

In-depth 40 Minutes For all staff

Treating Customers Fairly (TCF) applies to firms in the financial services industry.

Personal Conflicts of Interest

In-depth 25 Minutes For all staff

The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients.

Introduction to UK Financial Regulation

In-depth 45 Minutes For all staff

NEDs are an important part of a firm's governance and provide independence and oversight.

Operational Resilience

In-depth 55 Minutes DORA For all staff

The FCA has made operational resilience a requirement for banks, building societies, PRA-designated investment firms, enhanced scope firms and other financial institutions.

CASS Overview

In-depth 35 Minutes For all staff

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.

Conflicts of Interest in Asset Management

In-depth 30 Minutes For all staff

The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.

Understanding Modern Slavery

Microlearning 5 Minutes ESG For all staff

Modern slavery remains a persistent, inhumane practice affecting millions through forced labour, trafficking and exploitation.

Gifts and Hospitality

Microlearning 5 Minutes Bribery Prevention For all staff

Gifts and hospitality can create a risk of actual or perceived bribery if not handled correctly.

Spot a Phishing Attempt

Microlearning 5 Minutes Cybersecurity DORA For all staff

Phishing emails are fraudulent attempts by cybercriminals to trick individuals into revealing sensitive information.

Abuse of Position

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud by abuse of position occurs when someone in a position of trust dishonestly exploits their role for personal gain or to cause loss to others.

Whistleblowing

Microlearning 5 Minutes For all staff

Whistleblowing is the act of reporting wrongdoing such as fraud, bribery or safety breaches to protect an organisation and its stakeholders.

Money Laundering Red Flags

Microlearning 5 Minutes Financial Crime For all staff

Detecting and reporting money laundering red flags is essential for maintaining anti-money laundering (AML) compliance.

Business Email Compromise

Microlearning 5 Minutes Cybersecurity DORA For all staff

Business Email Compromise (BEC) is a targeted cyberattack where criminals impersonate executives or hack accounts to steal money or sensitive information.

Speak Up

Microlearning 5 Minutes For all staff

Speaking up against misconduct or unethical behaviour can be challenging, but it is essential to maintaining integrity in the workplace.

Display Screen Equipment

Microlearning 5 Minutes Health & Safety For all staff

Correctly setting up display screen equipment (DSE) is crucial for maintaining comfort and preventing strain or injury.

Identity Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Identity fraud occurs when criminals steal personal information to commit fraud, often leading to financial loss and reputational damage.

Slips and Trips

Microlearning 5 Minutes Health & Safety For all staff

Slips and trips are among the most common causes of workplace injuries, often resulting in serious harm such as fractures or concussions.

Manual Handling

Microlearning 5 Minutes Health & Safety For all staff

Manual handling tasks, such as lifting, carrying, pushing or pulling objects, can lead to injuries if not done correctly.

Complaints Handling

In-depth 45 Minutes For all staff

The number of complaints submitted in the Insurance sector has increased year on year in recent times in the UK.

Conflicts of Interest in Insurance

In-depth 35 Minutes For all staff

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

ICOBS - General Matters

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

Insurance Distribution Directive (IDD)

In-depth 45 Minutes For all staff

The Insurance Distribution Directive (IDD) replaced the Insurance Mediation Directive (IMD) in February 2018.

Treating Customers Fairly

In-depth 45 Minutes For all staff

Treating Customers Fairly (TCF) applies to firms in the Insurance industry.

Modern Slavery

In-depth 15 Minutes ESG For all staff

Modern slavery is a serious crime with harsh penalties.

Records Management

In-depth 20 Minutes DORA For all staff

Records management refers to employees' creation, storage, archiving, and disposal of business records.

Slips and Trips

In-depth 20 Minutes For all staff

Educate your staff on the controls that your Company has in place and what they should do to prevent slips and trips at work.

Mental Health at Work for Managers

In-depth 20 Minutes Health & Safety For managers

Stress, anxiety and depression are serious health hazards in the workplace.

First Aid Awareness

In-depth 40 Minutes Health & Safety For all staff

Regardless of whether an injury or illness has been caused by work, it is important that employees receive immediate support.

General Office Hygiene

In-depth 20 Minutes Health & Safety For all staff

Educate your staff on general office hygiene protocols to reduce common viruses and infections from spreading at the workplace.

Principles for Businesses

In-depth 20 Minutes For all staff

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

Ethical Standards in Finance and Investment

In-depth 40 Minutes Financial Crime For all staff

The FCA's ethical standards apply to individuals in finance and investment.

Training and Competence

In-depth 30 Minutes Financial Crime For all staff

Training and Competence (T&C) forms an important part of UK regulations under the FCA.

COBS - Client Communications and Financial Promotions

In-depth 20 Minutes For all staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

Understanding Conflicts of Interest

Microlearning 5 Minutes ESG For all staff

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

Foreign Agent Bribery Risk

Microlearning 5 Minutes Bribery Prevention For all staff

Operational risk in financial services arises from internal process failures, people, systems or external events.

Compliments vs Sexual Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Genuine compliments can be part of a positive workplace, but inappropriate remarks can cross the line into sexual harassment.

Failing to Disclose Information

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud can occur when someone deliberately withholds information to gain an unfair advantage or cause loss to others.

Targets of Sexual Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Sexual harassment can occur in various forms and affects everyone in the workplace.

Forced Labour Indicators

Microlearning 5 Minutes ESG For all staff

Forced labour is a serious violation of human rights, often hidden within workplaces and supply chains.

Interacting on Social Media

Microlearning 5 Minutes ESG For all staff

Social media offers great opportunities for communication, but it also presents risks to data protection, security and reputation.

Dealing With Stress at Work

Microlearning 5 Minutes For all staff

Workplace stress can arise from tight deadlines, high-pressure environments and personal challenges.

Deepfake Awareness

Microlearning 5 Minutes Cybersecurity DORA For all staff

Deepfakes use artificial intelligence to create fake images, audio or videos that can deceive individuals and organisations.

Horizontal Agreements

Microlearning 5 Minutes For all staff

Competition drives innovation, fair pricing and better services for customers.

The Three Stages of Money Laundering

Microlearning 5 Minutes Financial Crime For all staff

Money laundering is the process criminals use to disguise illicit funds as legitimate income through placement, layering and integration.

Common Cyber Threats

Microlearning 5 Minutes Cybersecurity DORA For all staff

Cyber threats such as phishing, malware, ransomware and unsecured networks pose significant risks to businesses.

Preventing Tipping Off

Microlearning 5 Minutes Financial Crime For all staff

Tipping off is a criminal offence that occurs when someone under investigation for financial crime is made aware of the suspicion against them.

Personal Data Breaches

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Personal data breaches can occur through hacking, human error or unauthorised access, leading to serious legal and reputational consequences.

Understanding Sexual Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Sexual harassment is unwanted behaviour of a sexual nature that violates a person’s dignity or creates an intimidating, hostile or offensive environment.

Understanding Facilitation Payments

Microlearning 5 Minutes Bribery Prevention For all staff

Facilitation payments are small, unofficial payments made to speed up routine services, but they are considered bribes under anti-bribery and corruption laws.

Data Protection Impact Assessments

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Data Protection Impact Assessments (DPIAs) are used to evaluate our data processing activities and mitigate risks to individuals.

Zero Trust Cybersecurity

Microlearning 5 Minutes Cybersecurity DORA For all staff

The zero trust cybersecurity model ensures IT systems remain inaccessible by default, requiring strict verification before granting access.

COBS - Client Categorisation

In-depth 20 Minutes Financial Crime For all staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

Information Barriers

In-depth 45 Minutes Financial Crime For all staff

The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.

Senior Management Arrangements Systems and Controls

In-depth 25 Minutes Financial Crime For managers

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

Fit and Proper Assessments

Express 20 Minutes SMCR For all staff

In order to perform a Senior Management Function (SMF), Senior Managers need to be approved by the FCA and, for dual regulated firms, the PRA.

Conduct Rules for Non-Executive Directors (NEDs)

In-depth 30 Minutes SMCR For managers

NEDs are an important part of a firm's governance and provide independence and oversight.

Conduct Rules for Senior Managers at FCA Solo Firms

In-depth 60 Minutes SMCR For managers

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Bring Your Own Device Security

Microlearning 5 Minutes DORA Cybersecurity For all staff

Bring Your Own Device (BYOD) policies offer convenience and flexibility but also introduce cybersecurity risks.

Device Hygiene

Microlearning 5 Minutes DORA Cybersecurity For all staff

Device hygiene is the practice of keeping digital devices secure and free from cyber threats to protect company data and networks.

Malware

Microlearning 5 Minutes DORA Cybersecurity For all staff

Malware is malicious software designed to harm or exploit computer systems, ranging from viruses and ransomware to spyware and botnets.

Ransomware

Microlearning 5 Minutes Cybersecurity DORA For all staff

Ransomware is a type of malware that encrypts files and demands payment for their release, often causing severe financial and operational damage.

Smishing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Smishing is a targeted phishing scam that uses deceptive text messages to gain sensitive information.

Spear Phishing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Spear phishing targets specific individuals with convincing emails designed to deceive them.

Video Conferencing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Video conferencing is a vital business tool, but it also presents security and privacy risks if not used correctly.

Vishing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Vishing is a social engineering attack where cybercriminals use phone calls to trick individuals into revealing sensitive information.

Creating Strong Passwords

Microlearning 5 Minutes Cybersecurity DORA For all staff

Strong password protection is essential to safeguarding company systems from cyber threats such as brute force attacks and password guessing.

Multi-factor Authentication

Microlearning 5 Minutes Cybersecurity DORA For all staff

Multi-factor authentication (MFA) enhances security by requiring users to verify their identity through multiple authentication methods.

Reacting to Password Breaches

Microlearning 5 Minutes Cybersecurity DORA For all staff

Password breaches can lead to unauthorised access, fraud and data theft, often resulting from weak passwords, phishing or insecure networks.

Information Classification

Microlearning 5 Minutes Cybersecurity DORA For all staff

This training helps employees understand different levels of information classification, their restrictions and how to handle data securely.

Information Security on the Move

Microlearning 5 Minutes Cybersecurity DORA For all staff

Handling company information securely, especially when working remotely or traveling, is essential to prevent data breaches and security risks.

Tailgating and Piggybacking

Microlearning 5 Minutes Cybersecurity DORA For all staff

Cybersecurity is not just about digital protection but also involves securing physical access to critical systems.

Secure Web Browsing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Practicing safe web browsing helps to reduce security risks and protect sensitive information.

Supply Chain Cybersecurity

Microlearning 5 Minutes Cybersecurity DORA For all staff

A company’s cybersecurity is only as strong as its weakest link and supply chain vulnerabilities can expose businesses to major breaches.

Transferring Information Securely

Microlearning 5 Minutes Cybersecurity DORA For all staff

Securely transferring information is essential to protect sensitive data from breaches, legal risks and business disruptions.

Using Wi-Fi safely

Microlearning 5 Minutes Cybersecurity DORA For all staff

Wi-Fi connectivity offers convenience but also exposes devices and data to security risks if not properly managed.

Advising Customers on Cybersecurity

Microlearning 5 Minutes Cybersecurity DORA For all staff

Cybersecurity is everyone's responsibility, including guiding customers to protect themselves from online threats.

CEO Fraud

Microlearning 5 Minutes Cybersecurity DORA For all staff

CEO fraud is a type of Business Email Compromise where cybercriminals impersonate executives to trick employees into making payments or sharing confidential information.

Guide to Secure Remote Working

Microlearning 5 Minutes Cybersecurity DORA For all staff

Remote work provides flexibility but also introduces cybersecurity risks that can compromise company data and systems.

Think Before You Click

Microlearning 5 Minutes Cybersecurity DORA For all staff

Clicking on malicious links or attachments is one of the most common ways cybercriminals infect IT systems with malware.

Bribery Offences and Penalties

Microlearning 5 Minutes Bribery Prevention For all staff

Bribery is a serious offence that carries severe consequences for individuals and companies.

Corrupt Hiring Practices

Microlearning 5 Minutes Bribery Prevention For all staff

Bribery risks in hiring arise when jobs or internships are offered in exchange for business favours or political influence.

Controllers and Processors

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The differences between data controllers and data processors are crucial to understanding data protection obligations.

Special Category Data

Microlearning 5 Minutes Data Protection (GDPR) For all staff

In many workplaces, sensitive data, including special category data, is collected and requires extra care.

GDPR Principle 1

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The first principle of the GDPR requires that personal data must be processed lawfully, fairly and transparently.

GDPR Principle 2

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The second principle of the GDPR, purpose limitation, requires that personal data be collected for specified, explicit and legitimate purposes.

GDPR Principle 3

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The third principle of the GDPR, data minimisation, requires that personal data collected must be adequate, relevant and limited to what is necessary.

GDPR Principle 4

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The fourth principle of the GDPR, accuracy, requires that personal data must be correct, up to date and not misleading.

GDPR Principle 5

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The fifth principle of the GDPR, storage limitation, requires that personal data be retained only for as long as necessary for its intended purpose.

GDPR Principle 6

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The sixth principle of the GDPR, integrity and confidentiality, requires that personal data be protected against unauthorised access, loss or damage.

GDPR Principle 7

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The seventh principle of the GDPR, accountability, requires organisations to take responsibility for compliance and demonstrate good governance in data protection.

GDPR and Consent

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Consent is one of the six lawful bases for processing personal data under the GDPR, requiring individuals to give clear, informed and voluntary agreement.

GDPR Lawful Bases for Processing

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The General Data Protection Regulation (GDPR) requires organisations to have a lawful basis for processing personal data, chosen from six legal grounds.

GDPR Legitimate Interests

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Legitimate interests is a flexible lawful basis for processing personal data, but it requires balancing business needs with individuals' rights.

GDPR International Transfers

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The international transfer of personal data is restricted to ensure individuals' privacy rights are protected when data is sent abroad.

GDPR Individual Rights

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The General Data Protection Regulation (GDPR) grants individuals eight specific rights over their personal data, ensuring transparency and control.

GDPR Subject Access Requests

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Individuals have the right to access their personal data and organisations must respond to subject access requests (SARs) within legal timeframes.

Cartels

Microlearning 5 Minutes For all staff

Competition in a free market encourages businesses to innovate, improve quality and reduce prices for consumers.

Trade Association Red Flags

Microlearning 5 Minutes For all staff

Trade association meetings serve legitimate purposes but can pose competition risks if sensitive business information is exchanged.

Vertical Agreements

Microlearning 5 Minutes For all staff

Vertical agreements between manufacturers, wholesalers and retailers can restrict competition and harm consumers.

Online Selling Restrictions

Microlearning 5 Minutes For all staff

Competition law ensures fair sales practices and prohibits restrictions that limit competition.

Resale Price Maintenance

Microlearning 5 Minutes For all staff

Resale price maintenance involves manufacturers controlling how retailers price their products.

Tying and Bundling

Microlearning 5 Minutes For all staff

Tying and bundling involve selling a product or service with another commitment or package.

Dawn Raids

Microlearning 5 Minutes For all staff

A dawn raid is an unannounced investigation by a regulator or law enforcement agency, often related to suspected financial crimes or anti-competitive practices.

Abuse of Dominant Position

Microlearning 5 Minutes For all staff

Companies with significant market power must compete fairly without distorting competition.

Risks in the Use of AI

Microlearning 5 Minutes Cybersecurity For all staff

This training highlights how AI can be used effectively while identifying and addressing potential risks.

Stereotyping

Microlearning 5 Minutes For all staff

Stereotypes are generalised beliefs about individuals or groups that can lead to prejudice and bias.

Understanding ESG

Microlearning 5 Minutes ESG For all staff

Companies are increasingly expected to integrate environmental, social and governance principles into their operations to attract investors.

Identifying Who is Vulnerable

Microlearning 5 Minutes ESG For all staff

Vulnerable individuals are those who face heightened risks of harm, abuse, neglect or exploitation due to various circumstances.

Screening Employees in Safeguarding Roles

Microlearning 5 Minutes ESG For all staff

The Safeguarding Vulnerable Groups Act protects children and vulnerable adults from harm by preventing unsuitable individuals from working with them.

Terrorist Financing Red Flags

Microlearning 5 Minutes Financial Crime For all staff

Terrorist groups use legal and illegal methods to raise and move funds, often exploiting financial systems to conceal their activities.

Understanding Terrorist Financing

Microlearning 5 Minutes Financial Crime For all staff

Terrorist groups rely on financial support from various sources, both intentional and unintentional.

Enhanced Customer Due Diligence

Microlearning 5 Minutes Financial Crime For all staff

Bring "Enhanced Customer Due Diligence" training to life using animation characters and storylines.

Politically Exposed Persons

Microlearning 5 Minutes Financial Crime For all staff

Politically exposed persons present a high risk of money laundering due to their influence and access to state resources.

Suspicious Activity Reporting

Microlearning 5 Minutes Financial Crime For all staff

Employees must report any knowledge or suspicion of money laundering or terrorist financing to the Money Laundering Reporting Officer.

Unexplained Wealth Orders

Microlearning 5 Minutes Financial Crime For all staff

Unexplained wealth orders allow law enforcement to seize assets if their owners cannot justify their wealth as coming from a legitimate source.

Supplier Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Supplier fraud occurs when vendors engage in deceptive practices, such as false invoicing, overpricing or bribery.

Authorised Push Payment Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Authorised push payment fraud occurs when scammers impersonate trusted figures to trick individuals into transferring money.

False Representation

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud by false representation happens when someone deliberately provides misleading or untrue information for personal or financial gain.

Employee Fraud and Insider Threats

Microlearning 5 Minutes Fraud Prevention For all staff

Employee fraud can take many forms, from theft and false expense claims to data misuse and conflicts of interest.

Fraud Offences and Penalties

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud is any dishonest action or omission intended to gain or cause a loss, regardless of whether it is temporary or permanent.

Mandatory Leave

Microlearning 5 Minutes Fraud Prevention For all staff

Mandatory leave is time off that certain organisations enforce to help prevent fraud, errors and other risk incidents.

The Fraud Triangle

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud is often committed by ordinary people who find themselves in difficult situations and make poor choices.

10 Essential Office Hygiene Practices

Microlearning 5 Minutes Health & Safety For all staff

Hygiene is a key factor in maintaining a clean, safe and healthy workplace.

10 Steps to Healthy Working

Microlearning 5 Minutes Health & Safety For all staff

A fast-paced work environment can take a toll on physical and mental health if risks are not managed.

Fire

Microlearning 5 Minutes Health & Safety For all staff

Fires pose a serious threat in any workplace, making fire prevention and safety measures essential.

Personal Protective Equipment

Microlearning 5 Minutes Health & Safety For all staff

Personal protective equipment is essential in minimising exposure to workplace hazards but should be the last line of defence.

Transport

Microlearning 5 Minutes Health & Safety For all staff

Work-related driving poses significant risks, contributing to a large percentage of road accidents.

Work Equipment

Microlearning 5 Minutes Health & Safety For all staff

Work equipment includes tools, machines and other devices used to perform tasks safely and efficiently.

Menopause Awareness

Microlearning 5 Minutes Health & Safety For all staff

Menopause is a natural stage in life that can bring physical and emotional challenges and potentially affect work performance.

Mental Health at Work

Microlearning 5 Minutes Health & Safety For all staff

Stress, anxiety and depression are major workplace health risks, accounting for over half of work-related ill-health cases.

New and Expectant Mothers at Work

Microlearning 5 Minutes Health & Safety For all staff

When an employee is pregnant or returning from maternity leave, certain legal rights and health considerations apply.

Understanding Intellectual Property

Microlearning 5 Minutes For all staff

Intellectual property rights are exclusive rights that protect creators and inventors, allowing them to benefit commercially from their work.

Don't Deal with Inside Information

Microlearning 5 Minutes For all staff

Insider dealing occurs when someone uses non-public, price-sensitive information to gain an unfair advantage in financial markets.

Understanding Inside Information

Microlearning 5 Minutes For all staff

Inside information is precise, non-public information about a financial instrument or issuer that could significantly impact market prices if disclosed.

Understanding Market Abuse

Microlearning 5 Minutes For all staff

Market abuse distorts financial markets and disadvantages investors.

Unlawful Disclosure of Inside Information

Microlearning 5 Minutes For all staff

Inside information is precise, non-public information about a financial instrument or issuer that could impact market prices if disclosed.

The Three Characteristics of Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Harassment in the workplace occurs when unwanted behaviour violates a person's dignity or creates an intimidating or offensive environment.

Minimum Disclosure Rules

Microlearning 5 Minutes For all staff

The Common Reporting Standard was introduced to prevent offshore tax evasion, but authorities continue to find ways in which it is being circumvented.

Unwanted Behaviour of a Sexual Nature

Microlearning 5 Minutes Preventing Harassment For all staff

Sexual harassment is unwanted behaviour of a sexual nature that can create an intimidating, degrading or hostile work environment.

The 4D Bystander Intervention Model

Microlearning 5 Minutes Preventing Harassment For all staff

Creating a safe and respectful workplace requires everyone to take action when witnessing bullying harassment or inappropriate behaviour.

Understanding Tax Evasion

Microlearning 5 Minutes For all staff

Tax evasion is the illegal act of dishonestly reducing tax liability, while tax avoidance involves exploiting legal loopholes.

Corrupt Hiring Practices

Express 10 Minutes Bribery Prevention For all staff

Diligence in hiring new employees is no longer limited to education, experience and references.

To Pay or Not To Pay?

Express 10 Minutes Bribery Prevention For all staff

Small facilitation payments made to officials for expediting a permit or approval might seem harmless, but they are illegal and could land your employees in prison.

CASS 10 - CASS Resolution Pack

In-depth 25 Minutes For all staff

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

CASS 6 - Custody Rules

In-depth 30 Minutes For all staff

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer

In-depth 50 Minutes For all staff

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

CASS 8 - Mandates

In-depth 30 Minutes For all staff

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

CASS 9 - Information to Clients

In-depth 25 Minutes For all staff

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

COBS - Appropriateness

In-depth 20 Minutes For all staff

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

COBS - Client Communications High Risk Investments

In-depth 20 Minutes For all staff

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

COBS - Suitability

In-depth 20 Minutes For all staff

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

Control of Substances Hazardous to Health (COSHH)

In-depth 30 Minutes For all staff

Educate your staff on the risks of using hazardous substances as well as what they should do to prevent accidents and incidents when using them.

Electricity

In-depth 30 Minutes For all staff

Educate your staff on the controls your Company has in place and what they should do to stay safe and manage the risks associated with electricity and electrical devices.

Fire Warden Training

In-depth 30 Minutes Health & Safety For all staff

Gain a comprehensive understanding of your role as a fire warden, which encompasses not only how to respond effectively in the event of a fire but also proactive measures to prevent such incidents from occurring.

Lone Working

In-depth 25 Minutes Health & Safety For all staff

Lone working offers greater flexibility, autonomy and creates a broader talent pool for businesses.

New and Expectant Mothers at Work

In-depth 15 Minutes Health & Safety For all staff

Being a new or expectant mother is an exciting time.

Noise

In-depth 25 Minutes For all staff

Educate your staff on the controls that your Company has in place and what they should do to prevent exposure to noise at work.

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation

In-depth 30 Minutes For all staff

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

Responsible Use of Artificial Intelligence

In-depth 35 Minutes Cybersecurity For all staff

Companies are committed to ensuring the ethical and responsible use of AI technologies.

Sustainability Disclosure Requirements (SDR) and Investment Labels

In-depth 30 Minutes For all staff

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

In-depth 25 Minutes For all staff

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

Understanding Failure to Prevent Fraud (FTPF)

In-depth 30 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you can help reduce risk by recognising fraud and supporting prevention procedures.

Our LMS or yours?

Award-winning LMS

Leverage the award-winning Skillcast Portal to deliver your compliance training, track performance with analytics, and access compliance tools to support and strengthen your compliance programme.

Discover LMS

Skillcast Remote Services

If you prefer to use your own LMS, we offer flexible pricing plans and delivery options to suit your unique needs, from off-the-shelf course libraries to fully bespoke solutions.

Explore SRS

Bring your courses to life with AI

Boost staff engagement by putting support and just-in-time learning front and centre. Aida delivers instant, reliable answers to compliance questions and recommends policies or training directly within your daily workflow, including MS Teams and soon Copilot. This reduces repetitive queries for your compliance team and helps identify knowledge gaps and risks.

Discover AI-enabled compliance

Your questions, answered

Common FAQs

Are Skillcast courses SCORM-compliant?

Yes. This means they can be delivered via the Skillcast Portal or any other SCORM-compliant Learning Management System.

What other tools are needed beyond training?

A comprehensive compliance solution often needs more than just training. Alongside e-learning, tools such as declarations, surveys and registers that track compliance tasks are usually essential. Skillcast provides full support to help you set up these additional tools.

Is our training content still compliant with the latest legislation?

You can check the latest course content updates in our library updates page: https://www.skillcast.com/compliance-course-library-updates
For major legislative changes, we:
- Send you email alerts to ensure you are notified
- Offer you a free trial of newly created or updated content
- Host webinars with compliance experts to explain the changes and how our training supports your ongoing compliance

Can you translate our content into other languages?

Yes, we offer translations in a wide range of languages. Let us know your needs, and we’ll confirm availability or work with you to plan translations for your selected modules.

What file types are supported by the Skillcast system?

Features	Supported file types and details
File Exchange	File types: PDF, Excel spreadsheets, Word documents, SCORM and xAPI files, and compressed zip files. Max file size: Default is 1GB, can be increased to a max of 2GB
SCORM files	Versions: SCORM 1.2, SCORM 1.2 for Moodle, SCORM 2004 2nd, 3rd and 4th Edition. Max file size: 1024MB
xAPI file	Max file size: 2GB
Videos	File types: MP4 or MOV. Videos must be optimised, with a max file size of 100MB. If the file is bigger, our Design Team can help
Images	File types: jpg, png and gif. The file size should ideally be 100KB, but it can be up to 250KB
CPD evidence	File types: Word, PDF, Excel and CSV. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB
Policy documents	PDF or Word File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB
Offline activities evidence	File types: PDF, DOC, DOCX, XLS, XLSX, CSV, PNG, GIF, JPEG, JPG, PPTX and MSG. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB
Client logo files	File types provided by client: EPS, PDF, AI and SVG
Registers	PDF, DOC, DOCX, XLS, XLSX, CSV, PPT, PPTX, POT, PPA, PPS, JPG, JPEG, PJEPG, PNG, BMP, GIF, MP4, MOV, WMV, CPTX, CP, TXT, ZIP and MSG files
Declarations	JPG, JPEG, PNG, GIF, XLS and XLSX files

What is Aida and how does it ensure reliable answers?

Aida is an AI tutor embedded in courses that allows learners to ask questions at any point during learning. It draws exclusively on content that has been vetted and curated by your organisation, including course materials, internal policies, approved web resources, and regulator sites. This curated approach ensures answers reflect accurate, organisation‑specific guidance.

Can administrators see what questions are asked and how Aida responds?

Yes. Reporting includes both the questions asked and Aida’s responses. For meaningful insight, questions are also categorised by topic (e.g., records management, gifts and hospitality) to reveal trends. All reporting is anonymised by default to encourage open, non‑threatening inquiry. To protect assessment integrity, Aida is disabled during assessments and is only available during the learning components of a course.

Browse Popular Compliance Topics

Find a course

Explore our course libraries

Browse Popular Compliance Topics

Find a course

Explore our course libraries

CASS 6 - Custody Rules

What you’ll learn in
this course

Ready to try this course?

Want to explore more courses?

Our LMS or yours?

Award-winning LMS

Skillcast Remote Services

Bring your courses to life with AI

Your questions, answered

Are Skillcast courses SCORM-compliant?

What other tools are needed beyond training?

Is our training content still compliant with the latest legislation?

Can you translate our content into other languages?

What file types are supported by the Skillcast system?

Features

Supported file types and details

What is Aida and how does it ensure reliable answers?

Can administrators see what questions are asked and how Aida responds?

Compliance starts here

CASS 6 - Custody Rules

What you’ll learn in this course

Ready to try this course?

Want to explore more courses?

Data Protection

Preventing Sexual Harassment

Anti-Bribery Training

Equality and Diversity in the Workplace

Anti-Money Laundering and Counter-Terrorist Financing

Information Security

Modern Slavery

Fraud Prevention

Anti-Money Laundering [Financial services version]

Cybersecurity

Bribery Prevention

Working Safely

Preventing the Facilitation of Tax Evasion

Financial Sanctions

Market Abuse Regulation

Bribery Prevention

Phishing

Fire Safety

Preventing the Facilitation of Tax Evasion [Financial services version]

Healthy Working

Gifts and Hospitality

Digital Operational Resilience Act (DORA)

Mental Health at Work

Information Security

Embargoes and Sanctions

Working Safely

Customer Due Diligence

Safeguarding the Vulnerable

Preventing Sexual Harassment for Managers

Anti-Competitive Agreements

Good Outcomes for Vulnerable Customers

Overview of the Consumer Duty

Whistleblowing in Financial Services

Complaints Handling

Treating Customers Fairly

Personal Conflicts of Interest

Introduction to UK Financial Regulation

Operational Resilience

CASS Overview

Conflicts of Interest in Asset Management

Understanding Modern Slavery

Gifts and Hospitality

Spot a Phishing Attempt

Abuse of Position

Whistleblowing

Money Laundering Red Flags

Business Email Compromise

Speak Up

Display Screen Equipment

Identity Fraud

Slips and Trips

Manual Handling

Complaints Handling

Conflicts of Interest in Insurance

ICOBS - General Matters

Insurance Distribution Directive (IDD)

Treating Customers Fairly

Modern Slavery

Records Management

Slips and Trips

Mental Health at Work for Managers

First Aid Awareness

General Office Hygiene

Principles for Businesses

Ethical Standards in Finance and Investment

Training and Competence

COBS - Client Communications and Financial Promotions

Understanding Conflicts of Interest

Foreign Agent Bribery Risk

Compliments vs Sexual Harassment

Failing to Disclose Information

Targets of Sexual Harassment

Forced Labour Indicators

Interacting on Social Media

Dealing With Stress at Work

Deepfake Awareness

What you’ll learn in
this course