CASS Overview

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses. This Principle states that firms must arrange adequate protection for clients' assets.

Our CASS Overview Training Course explains the rules surrounding the protection of client money and client assets, as well as how to apply these rules in your day-to-day work.

Here, you will learn about the rules surrounding the protection of client money and client assets, and see how you must apply them in your day-to-day work.

35 Minutes
For all staff
Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.
FCA Compliance Library

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

Excellent easy-to-use LMS which Skillcast have specifically tailored to our needs to also host a Global Policy Portal and global staff surveys, alongside providing live MI reporting.

Being able to personalise our own training has been a game-changer! Excellent training was provided on how to use the CMS and the support team have been so helpful, patient and quick to reply when I've got stuck.

We have been enjoying e-learning with Skillcast for 10 years now. Their customer service is always at the highest level, always very attentive, responsive, and polite. Highly recommend to any company who is looking for a high quality e-learning and customer service (they have both in high standards).

We started using Skillcast for our employee's compliance training a few months ago and the experience has been excellent. Skillcast was very efficient in the set up process they then helped support us with rolling out our staff training in a seamless way. The course content is highly detailed and professionally delivered. Overall, I would highly recommend Skillcast as your LMS training provider.

Excellent courses with a brilliant support team

We've been using Skillcast for approx. 1.5 years and have been very happy with the service received and the courses offered. The customer service from the support team is excellent, they always respond quickly and are very helpful. The courses offered cover a broad range and the FCA courses were particularly useful to our business.

Incredibly helpful support team, who work with you to provide tailored advice and practical assistance. You are supported every step of the way. Would highly recommend.

I cannot overstate how happy with are with Skillcast. They are prompt, attentive, patient and always so good humoured. The teams work seamlessly, and there is always someone to cover in the absence of a team member. I am always impressed and very happy to work with the team.

A great LMS with a dedicated and knowledgeable team behind it. The LMS has a number of features that are gradually shared and which keeps on being developed.

Every member of the team I have had dealings with have been quick, efficient and very accommodating. No task or query is to big for them, and always a quick and prompt response. Pleasure to work with

We use Skillcast for our corporate training and it's a good LMS platform with a great variety of courses available. The platform is user-friendly and easy to navigate, and courses are up to date with legislation.

Skillcast is easy to set up and use. You can design the colours of the platform to fit you company branding. Support team are very helpful and nothing is too much trouble.

Excellent systems, user-friendly and easy to use.

Skillcast is a great platform to use for Compliance e-learning. The staff found the courses informative and engaging. There is a wide range of compliance related topics on the essentials library. The LMS is easy to use, and provides reports to track staff progress, which is a helpful feature.

The range of course libraries are comprehensive and the ability to select from multiple modules was important to us. The Global Library provides courses in multiple languages. We were also impressed with the microlearning modules. The platform is a great option for us and for our business requirements. We can also trust in Skillcast to review and update the modules so that they remain relevant and incorporate the latest developments in regulation.

Excellent services provided by the Skillcast team and the Skillcast system is simple to use.

The service provided for our company is excellent. The platform provides essential training for our business. When liaising with Skillcast in preparation for training delivery their customer service is excellent and we would definitely recommend.

Skillcast has truly transformed our approach to compliance training and tracking at Imagination. Not only does it seamlessly manage our global company's compliance requirements, but it also enhances employee engagement through its user-friendly interface and interactive content. What sets Skillcast apart is not just the platform itself, but also their exceptional customer service team. They are responsive, knowledgeable, and dedicated to providing tailored solutions to our unique needs. It's been instrumental in streamlining our compliance processes and fostering a culture of proactive risk management, growth & development."

They listened to our needs and helped tailor the existing course to our organisation with ease, ensuring accessibility requirements were maintained and the training was engaging and presentable. All their help was been very appreciated and I couldn't have asked them to do any more for us. I would recommend Skillcast to anyone looking to bring in new training modules to their organisation.

Skillcast provide an A-star product with excellent customer service support.

Feefo Customer Rating ★★★★★ 4.9/5

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Microlearning 5 Minutes Preventing Harassment For all staff

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Unconscious Bias

Microlearning 5 Minutes Preventing Harassment For all staff

Unconscious bias occurs when we make judgments about people based on past experiences, cultural influences or assumptions.

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.

Customer Due Diligence

Microlearning 5 Minutes Financial Crime For all staff

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

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.

Customer Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Customer fraud poses serious risks to businesses, from chargeback fraud to false complaints.

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.

Economic Crime and Corporate Transparency Act 2023

Microlearning 5 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

The Economic Crime and Corporate Transparency Act 2023 expands corporate liability for fraud and financial crimes.

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.

Preventing Corporate Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Corporate fraud involves illegal activities committed by an organisation or individuals acting on its behalf.

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.

COSHH

Microlearning 5 Minutes Health & Safety For all staff

Exposure to hazardous substances in the workplace can cause serious health conditions, including respiratory diseases and skin disorders.

Electricity

Microlearning 5 Minutes Health & Safety For all staff

Electricity is essential in the workplace, but even minor mistakes can cause serious injuries, fires or fatalities.

Fire

Microlearning 5 Minutes Health & Safety For all staff

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

Noise

Microlearning 5 Minutes Health & Safety For all staff

Prolonged or excessive noise can cause stress, hearing damage and other health risks.

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.

Working Safely

Microlearning 5 Minutes Health & Safety For all staff

Workplace accidents occur frequently, but many are preventable through awareness and proper safety measures.

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 Insider Trading

Microlearning 5 Minutes For all staff

Inside information can significantly impact financial markets and must be handled with strict confidentiality.

Understanding Market Abuse

Microlearning 5 Minutes For all staff

Market abuse distorts financial markets and disadvantages investors.

Persons Discharging Managerial Responsibilities

Microlearning 5 Minutes For all staff

Persons discharging managerial responsibilities are senior individuals in publicly traded organisations who have access to inside information.

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.

Protecting Intellectual Property Rights

Microlearning 5 Minutes For all staff

Intellectual property (IP) includes original creations such as artistic works, inventions, trademarks and trade secrets that can be owned, licensed or sold.

AIFM Regulations

In-depth 25 Minutes For all staff

The Alternative Investment Fund Managers Directive (AIFMD) was developed by the EU in order to create a harmonised framework of rules for regulating AIFMs.

An Introduction to Solvency UK

In-depth 30 Minutes For all staff

Solvency II introduced a new, harmonised EU-wide insurance regulatory regime.

Appointed Representatives Regulatory Responsibilities for Insurance Firms

In-depth 20 Minutes For all staff

The FCA expects companies to ensure all their appointed representatives know the provisions within the FCA handbook.

Asbestos

In-depth 25 Minutes Health & Safety For all staff

Educate your staff on the risks posed by asbestos, the controls your Company has in place, and what you should do to manage these risks and stay safe.

BCOBS - Distance Communications

In-depth 15 Minutes For all staff

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.

Benchmarks Regulation

In-depth 45 Minutes For all staff

The FCA defines a Benchmark as an index used to determine the value of or the amount payable under a financial instrument (or contract).

Breathing Space Regulations

In-depth 25 Minutes For all staff

Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt.

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.

CeMAP Competency Refresher

In-depth 65 Minutes For all staff

The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).

Claims Handling - General Insurance

In-depth 35 Minutes For all staff

Speed and accuracy of claims handling is a major aspect of service differentiation in this industry.

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.

Complaints Handling for the Mortgage Market

In-depth 40 Minutes For all staff

The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP).

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.

FX Global Code

In-depth 60 Minutes For all staff

The FX Global Code is a set of global principles of good practice in the foreign exchange market.

ICOBS - Cancellation and Claims

In-depth 15 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

ICOBS - Distance Communications

In-depth 15 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

ICOBS - Cancellation and Claims

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

ICOBS - Distance Communications

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

Insurance Act 2015

In-depth 30 Minutes For all staff

The Insurance Act 2015 represents the most significant reform of insurance contract law in the UK for over a century.

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.

MCOB - Advising and Selling

In-depth 45 Minutes For all staff

The Mortgage Conduct of Business (MCOB) Advising and Selling standards apply to businesses that advise on or arrange mortgage contracts, equity release transactions, home purchase plans or sale and rent back agreements.

MCOB - Disclosures

In-depth 30 Minutes For all staff

The Mortgage Conduct of Business (MCOB) for Disclosures applies to businesses involved in home finance transactions.

MCOB - Equity Release

In-depth 40 Minutes For all staff

The Mortgage Conduct of Business (MCOB) for Equity Release applies to businesses that make recommendations or provide personalised information to customers on equity release products.

MCOB - Financial Promotions

In-depth 30 Minutes For all staff

The Mortgage Conduct of Business (MCOB) for Financial Promotions applies to financial promotions in the home finance business.

Mortgage Credit Directive

In-depth 30 Minutes For all staff

The EU Mortgage Credit Directive (MCD) applies to all businesses dealing with first-charge, second-charge, and buy-to-let mortgages.

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.

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

In-depth 35 Minutes For all staff

The Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation has applied since 1 January 2018.

Pensions Ombudsman Complaints Handling

In-depth 40 Minutes For all staff

In the UK, the Pensions Ombudsman handles pension complaints and disputes at no cost to members of occupational and personal pension schemes.

Prudential Regulation

In-depth 45 Minutes For all staff

Prudential Regulation applies to firms in financial services.

Prudential Regulation for Insurance Firms

In-depth 35 Minutes For all staff

Educate your employees on the Prudential Standards for financial businesses in the UK.

Responsible Lending and Affordability

In-depth 60 Minutes For all staff

Responsible Lending and Affordability are non-negotiable principles that underpin the UK's mortgage market reform.

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.

UCITS

In-depth 30 Minutes For all staff

Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive aims to offer asset managers and investors greater business opportunities.

UK Money Markets Code

In-depth 60 Minutes For all staff

The UK Money Markets Code provides a set of principles to promote the integrity and effective functioning of the UK money markets.

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.

Failure to Prevent Fraud (FTPF): Types of Fraud

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the various types of fraud that could lead to the Failure to Prevent Fraud offence and how to help prevent them in my role.

Failure to Prevent Fraud (FTPF): Offence

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the legal implications of the Failure to Prevent Fraud offence and how to ensure compliance in my role.

Failure to Prevent Fraud (FTPF): Scope

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the scope of the Failure to Prevent Fraud offence and its implications for different types of companies.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services

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

Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.

Failure to Prevent Fraud (FTPF): Prevention

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the six principles of fraud prevention to design and support effective anti-fraud controls.

AML and CTF for Charities

Microlearning 5 Minutes For all staff

Charities can inadvertently become vehicles for money laundering and terrorist financing, threatening their integrity and compliance.

Anti-Bribery for Charities

Microlearning 5 Minutes For all staff

Bribery in the charity sector can take subtle and complex forms, from cash payments to promises of preferential treatment.

Charity Purposes and Rules

Microlearning 5 Minutes For all staff

Charities in the UK must operate within their defined purposes as set out in their governing documents, ensuring all activities align with these objectives.

Communicating with the Charity Commission

Microlearning 5 Minutes For all staff

Effective communication with the Charity Commission is essential for compliance, transparency and maintaining public trust.

Data Protection for Charities

Microlearning 5 Minutes For all staff

Handling personal data is a critical responsibility for charities, governed by data protection laws and essential for maintaining trust.

Gifts and Hospitality for Charities

Microlearning 5 Minutes For all staff

Gifts and hospitality can pose a risk of actual or perceived bribery in the charity sector.

Making Decisions at a Charity

Microlearning 5 Minutes For all staff

Charity decision-making must be guided by principles that ensure actions are within the charity's powers, aligned with its purpose and in its best interests.

Managing Charity Finances

Microlearning 5 Minutes For all staff

Managing charity finances requires spending responsibly, transparently and strictly for the charity's purpose.

Managing Conflicts of Interest in a Charity

Microlearning 5 Minutes For all staff

Conflicts of interest, whether actual or perceived, can harm a charity's decision-making and credibility.

Political Activity and Campaigning by Charities

Microlearning 5 Minutes For all staff

Charities in the UK can engage in political activity to support their purpose, provided it remains secondary to their charitable work and complies with legal and ethical guidelines.

Safeguarding for Charities and Trustees

Microlearning 5 Minutes For all staff

Safeguarding involves protecting people from harm, abuse and neglect.

Directive on Administrative Cooperation in the Field of Taxation (DAC6)

In-depth 35 Minutes For all staff

The EU Directive on Administrative Cooperation in the Field of Taxation (DAC6) covers cross-border arrangements.

ICOBS - General Matters

In-depth 15 Minutes For all staff

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

ICOBS - Providing Information and Advising

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

Conduct Rule 1: Act with Integrity

Microlearning 5 Minutes For all staff

Integrity is a fundamental principle in financial services, ensuring ethical conduct and maintaining customer trust.

Conduct Rule 2: Act with due skill, care and diligence

Microlearning 5 Minutes For all staff

People working in financial services must act with due skill, care and diligence, ensuring their actions do not harm customers or the financial system.

Conduct Rule 3: Be open and cooperative with the FCA, the PRA and other regulators

Microlearning 5 Minutes For all staff

Financial services firms and employees must be open and cooperative with regulators, including the Financial Conduct Authority and the Prudential Regulation Authority.

Conduct Rule 4: Pay due regard to the interests of customers and treat them fairly

Microlearning 5 Minutes For all staff

Financial services professionals must always act in the best interests of customers and ensure they are treated fairly.

Conduct Rule 5: Observe proper standards of market conduct

Microlearning 5 Minutes For all staff

Financial markets rely on trust, integrity and adherence to established rules and ethical behaviour.

Conduct Rule 6: Act to deliver good outcomes for retail customers

Microlearning 5 Minutes For all staff

Financial services professionals must act in good faith, prevent foreseeable harm and support customers in achieving their financial objectives.

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.

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.

Training and Competence

In-depth 30 Minutes For all staff

Educate your employees on the FCA's rules for training and competence of staff in the financial services business.

Introduction to UK Financial Regulation

In-depth 45 Minutes For all staff

Educate your employees on how the UK's financial services industry is regulated.

Conduct Risk

In-depth 50 Minutes For all staff

The FCA focuses on good customer outcomes and how a firm achieves this through staff conduct at all levels of the business.

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.

Overview of the Consumer Duty

In-depth 30 Minutes For all staff

Learn about the FCA's Principle 12 and the rules that flow from it, and see how you can apply Consumer Duty in your day-to-day work.

Good Outcomes for Vulnerable Customers

In-depth 30 Minutes For all staff

Companies have a legal obligation to ensure that vulnerable individuals do not suffer any detriment and are given the appropriate level of care.

Third-Party Harassment

Microlearning 5 Minutes For all staff

Third‑party harassment is unwanted behaviour by someone who is not an employee, such as a customer, supplier, contractor or visitor.

CASS 15 - Payment Services and Electronic Money: Relevant Funds

In-depth 30 Minutes For all staff

CASS 15 introduces a strengthened safeguarding regime for payment services and electronic money firms, designed to better protect customer funds in the event of firm failure.

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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.

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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.

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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.

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Browse Popular Compliance Topics

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Explore our course libraries

CASS Overview

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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 Overview

What you’ll learn in this course

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Healthy Working

Digital Operational Resilience Act (DORA)

Mental Health at Work

Embargoes and Sanctions

Safeguarding the Vulnerable

Preventing Sexual Harassment for Managers

Good Outcomes for Vulnerable Customers

Overview of the Consumer Duty

Whistleblowing in Financial Services

Meeting the Conduct Rules in Dual Regulated Firms

Complaints Handling FCA Compliance

Treating Customers Fairly FCA Compliance

Personal Conflicts of Interest

Introduction to UK Financial Regulation

Operational Resilience

CASS Overview

Conflicts of Interest in Asset Management

Understanding Modern Slavery

Understanding Bribery

Gifts and Hospitality

Spot a Phishing Attempt

Abuse of Position

Whistleblowing

Understanding Sanctions

Money Laundering Red Flags

Business Email Compromise

Speak Up

Understanding Fraud

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

Records Management

First Aid Awareness

General Office Hygiene

MCOB - General Standards

Principles for Businesses

Ethical Standards in Finance and Investment

BCOBS - General Standards

Training and Competence

COBS - Client Communications and Financial Promotions

CONC - Consumer Credit Regulations

Understanding Conflicts of Interest

Foreign Agent Bribery Risk

Compliments vs Sexual Harassment

Failing to Disclose Information

Targets of Sexual Harassment

Crossing the Line into Sexual Harassment

Understanding Harassment

Forced Labour Indicators

Interacting on Social Media

Deepfake Awareness

Horizontal Agreements

Understanding Information Security

The Three Stages of Money Laundering

What you’ll learn in
this course