CASS 8 - Mandates
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30 Minutes -
For all staff
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UK
CASS 8 requires firms to understand what a mandate is and how to handle one. This 30-minute course provides a high-level introduction, explaining what a mandate is, defining the FCA conditions that create one, and covering the regulatory requirements for record keeping and internal controls that apply once a firm holds mandates over client assets or money.
Mandates are the CASS area most often missed entirely, because a firm can hold one without ever holding client money. Direct debit authorities and standing instructions can create them. Firms usually find out during an audit. Training the staff who set up and manage these arrangements is how you identify mandates before someone else does.
What you’ll learn in
this course
- 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
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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