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CASS – Managing Client Money and Assets

Eureka Financial Ltd

Summary

Price
£744 inc VAT
Study method
Online + live classes
Duration
7 hours · Full-time
Qualification
No formal qualification
Certificates
  • Certificate of completion - Free
Additional info
  • Tutor is available to students

Overview

This very practical 1 day course conducted by an expert with over 20 years of experience within the sector will provide a thorough overview of the CASS regulation and CASS rules, their scope and requirements, and prepare participants to effectively comply with them. You will learn about the principles of clients’ money and asset protection, how to segregate and hold funds and keep records. You will also learn about the CASS reporting requirements and how to set up all the processes and operations in order to stay compliant.

Main topics covered during this training
  • The background to client asset protection
  • CASS rules, scope and significance
  • Defining client money and assets
  • Defining CASS firm
  • CASS Resolution Pack
  • Common issues with managing clients money and assets
  • Record keeping and reporting requirements
  • Reconciliation requirements
  • Governance process

Certificates

Certificate of completion

Digital certificate - Included

Description

By the end of this course you will learn about:

  • Recognise the FCA’s concerns regarding Client Assets
  • Understand your firm’s responsibilities when handling Client Money
  • Assess the practical implications of your firm’s Client Asset responsibilities
  • Consider the effectiveness of your current processes in the light of the enhanced CASS regulation
  • Identify the work required to comply with the CASS regulation
  • Investigate the application of the FCA CASS rules, drawing on lessons learned and good industry practice

Who is this course for?

The course is suitable for investment management companies, banks and firms providing supporting services and in particular professionals from the following departments:

  • Compliance
  • Audit
  • Operations
  • Product Development
  • Risk Management
  • Accounts and Finance
  • Legal
  • Client Services
  • IT

Questions and answers

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Legal information

This course is advertised on reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.

FAQs

Study method describes the format in which the course will be delivered. At Reed Courses, courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on Reed Courses, many of which can be completed online.

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body's logo if they wish. Certain awarding bodies - such as Quality Licence Scheme and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.
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