Duration: 4 hours | Timings: 10am-12pm, (break from 12 – 1pm) resuming 1-3pm
This 4 hour online workshop is intended to provide a detailed understanding of the requirements for good CASS Reconciliation, both the preparation and subsequent actions and follow up under the FCA regulatory regime. The course will include practical examples of good and bad practice, which firms should be looking to meet or aspire to. It is suitable for those with previous experience in this area or for those who wish to refresh and expand their knowledge.
Please note: due to the longer duration of the course, it has been divided into 2 x 2 hours sessions (morning and noon), as indicated above.
The content will include
- Methods of reconciliation, format and evidence
- Understanding the reconciliation timeline
- Best practice in reconciliation sign off and oversight
- Funding Calculations
- Practical prudent segregation calculation
- Treatment of stock and system differences
- Reconciliation policies, why they are important
- Current auditor and regulatory concerns and hotspots
- Reconciliation MI
- Process considerations when designing work flows