Date(s) - 23/10/2017
9:00 am - 5:00 pm
CII Venue TBC
When & Where
4 July 2017 London
23 October 2017 London
Who should attend?
This course is designed for directors and senior managers with client asset and money responsibilities, accounting staff and supervisors, and compliance officers, in IFAs and investment management firms.
What are the outcomes of attending?
- Introduction to FCA regulations– zero tolerance rules within a principles-based approach
- The expectations of the Principles for Business and Senior Management Arrangements, Systems and Controls
- The current regulatory concerns – the ‘hot buttons’
- The objective – the CMAR
- The CASS rules:
– Collateral provisions
– Safe custody rules
– Client money and bank rules
– Reconciliations and client money calculations
- Notifiable breaches
- Gap analysis/health check, in the client money audit.
By the end of the course you will be able to:
- Explain the regulatory responsibilities of firms when handling client assets
- Explore the FCA high level obligations which relate to client assets
- Describe the oversight requirements, particularly approved persons
- Interpret the specific applications, requirements and rules of the CASS sourcebook:
– Custody of Assets
– Client money
- Explain the requirements for reconciliation, recording and reporting
- Gauge the current regulatory concerns and priorities
- Identify any reviews or changes that may be required.
Who is running the workshop?
What have previous delegates said about this workshop?
How much does it cost?
How do I book?
For bookings, enquiries and updates visit www.cii.co.uk/f2f or call customer service 0208 989 8464
To discuss technical, in-house and bespoke courses contact Face-to-Face Training on 0207 391 1133 or email firstname.lastname@example.org