CASS 9 - Information to Clients
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25 Minutes -
For all staff
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UK
CASS 9 requires firms to pass certain information to clients, particularly where prime brokers, custody assets and client money are involved. This 25-minute course covers the overall requirements of CASS 9, defines what a prime broker is and explains the reports they must make, and identifies the information firms are obliged to provide and when.
Client reporting obligations are easy to under-deliver, because nobody complains about information they did not know they were entitled to until something goes wrong. The requirements are specific about content and frequency. Training operations and client service staff on what is owed keeps your firm on the right side of a rule that is straightforward to comply with and awkward to explain having missed.
What you’ll learn in
this course
- Understand the overall requirements of CASS 9
- Define a prime broker and explain the reports that need to be made by prime brokers
- Identify the information that needs to be provided regarding custody assets and client money
- Identify the reporting that is provided to clients on request
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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