CASS Overview
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35 Minutes -
For all staff
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UK
The FCA's Client Assets sourcebook supports Principle 10, which requires firms to arrange adequate protection for client assets. This 35-minute course defines client money and client assets, assesses the requirements placed on firms permitted to hold either, and reviews the governance that keeps those protections working.
CASS breaches have produced some of the FCA's most substantial penalties against otherwise well-run firms, usually through procedural failures rather than misconduct. Staff who never touch a reconciliation still make decisions that affect client asset protection. An organisation-wide overview establishes why the rules are strict, which is what stops a well-intentioned shortcut becoming a reportable breach.
What you’ll learn in
this course
- Define what client money is and what client assets are
- Assess the requirements for firms that are permitted to hold client money or client assets
- Review governance requirements and good business practice
- Understand the requirements for record-keeping and reporting to the Financial Conduct Authority (FCA)
- Review the implications for firms that do not have permission to hold or control client money or client assets
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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