Validating Your CASS Arrangements

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Date(s) - 14/11/2017
9:30 am - 12:30 pm



When & Where
14 November London

Who should attend? 
Delivered by experts, this update is written for:

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

What are the outcomes 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 +VAT
Multiple Booking £355.50 +VAT

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


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