Validating Your CASS Arrangements

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Date(s) - 15/03/2018
9:30 am - 12:30 pm


Categories No Categories

When & Where
15 March London

 Who should attend? 

  • Staff involved with client money and assets, including board members and senior managers
  • Individuals performing the CASS Operational Oversight function (CF10a)
  • Compliance teams
  • Custodians

 Benefits of Attending?

The fundamentals of CASS

  • Understanding the background and drivers of new requirements
  • State the FCA Principles and Objectives for CASS protection
  • Provide examples of FCA CASS enforcement
  • Explain the scope of rules and guidance including cross-jurisdictional impacts

High-level requirements

  • State the high level requirements for the protection of Client Money and Assets
  • Examine regulatory changes including MiFID II, impact of Brexit and political uncertainty in the global market

Operational and Regulatory Oversight

  • Examine risks associated with third party agreements; service level agreements and management information
  • Explore what meaningful management information and oversight is required for board assurance
  • Discuss the role of the regulator and the FCA’s specialist Supervision approach to the protection of CASS

Who is running the workshop?

What have previous delegates said about this workshop?  

How much does it cost?
Single Booking £395.00 (GBP)
Multiple Booking £355.50 (GBP)


How do I book?
Call 0203 178 4230 or email today



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