COURSE DETAILS
Duration: 3 hours | Timings: 9.30am -12.30pm
This 3 hour online workshop is intended to provide an understanding of the requirements for good CASS oversight and governance under the FCA regulatory regime. The course will include practical examples of good and bad governance and areas of best practice, which firms should be looking to meet or aspire to. It is suitable for those with some previous experience in this area or for those who wish to refresh and expand their knowledge.
The content will include
- Required record keeping and evidence for the purposes of the CASS rules and the impact of failures to comply
- Structures and process to ensure good governance
- Frequency and types of oversight
- Management of outsourced services
- 3LOD and staff
- An overview of the requirements for client money & custody asset reconciliation and record checks
- Funding and timing requirements
- Current auditor and regulatory concerns and hotspots
- CASS RP upkeep, maintenance and testing