Handling client assets and money – insurance

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Date(s) - 06/07/2017
9:00 am - 5:00 pm



When & Where
6 July 2017 London
10 November 2017 London

Who should attend?
This course is designed for directors and senior managers with client asset and money responsibilities (directly or oversight), accounting staff and supervisors, and compliance officers.

What are the outcomes of attending?

  • The implications of the Principles for Business and Senior Management Arrangements, Systems and Controls for client money
  • Zero tolerance rules within a principles based approach
  • Senior management responsibilities
  • The CASS sourcebook rules in detail, particularly:
    – Risk transfer, co-mingling and subordination
    – Terms of business agreements
    – Banks and accounts
    – Segregation – comparing statutory and non statutory trust accounts
    – Legacy and ‘unmatched cash’
    – The client money calculation and reconciliation.

Learning outcomes

By the end of the course you will be able to:

  • Explain the responsibilities of firms when handling client money
  • Outline the FCA’s high level standards which impact on handling client money
  • Define the key requirements of the CASS sourcebook
  • Interpret the application of the rules in different operational situations, drawing on sector good practice
  • Identify what should be covered within formal procedures, competence and ‘the client money file’
  • Highlight the specific FCA concerns and practical solutions
  • Assess the operational implications within your own firm
  • Identify improvements or changes that may be required within the firm.

Who is running the workshop?

What have previous delegates said about this workshop? 

How much does it cost?
£210 members
£250 non-members

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 face-to-facetraining@cii.co.uk


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