CASS 7 and 7A Client Money Rules and Client Money Distribution Training Course
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50 Minutes -
For all staff
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UK
CASS protects consumers when a firm holds their money, and CASS 7 and 7A set the rules for treating, distributing and transferring it. This 50-minute course covers segregation, record keeping to FCA standards, accounting and reconciliations, and the use of third parties, statutory trusts and acknowledgement letters.
CASS is one of the few areas where the FCA has consistently imposed substantial penalties on firms that were otherwise well run. Breaches are usually procedural: a reconciliation missed, an acknowledgement letter never obtained. Training everyone whose work touches client money, not only the CASS oversight officer, is the most reliable way to keep those procedural gaps from opening.
What you’ll learn in
this course
- Understand the CASS rules for the treatment of client money, including segregation
- Keep appropriate records in accordance with the rules of the Financial Conduct Authority (FCA)
- Understand why accounting and reconciliations are important
- Appreciate the use of third parties, statutory trusts and acknowledgement letters
- Know what to do if things go wrong and client money is distributed or transferred to another firm
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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