CASS Requirements for Client Money & Custody Assets 2026

Tuesday 23rd June, 2026

Delivered Virtually, Zoom

Attendee Fees: Non-members: £635 (VAT Exempt), Members: £485 (VAT Exempt)

Time: 09:30 - 13:30

Duration: 4 hours

COURSE DETAILS

Timings: 9.30am -13.30pm | 4 CPD hours

This 4 hour online workshop is intended to provide a good understanding of the requirements for compliance with the Client Assets (CASS) rules of the FCA, relating to Client Money & Custody Assets.

The content will include:

CASS Purposes, Principles & Penalties
CASS Scope & Rules
Segregation Requirements
Receiving & Paying Client Money
Exemptions
Recordkeeping
Client Money Reconciliations Overview
Client Asset Reconciliations & Record Checks Overview
Funding & Timings
CASS Mandate Requirements – CASS 8
CASS Resolution Pack & CMAR
CASS Statements & Information to Clients – CASS 9
FRC CASS Assurance Standards
Governance & Oversight

About your trainer

Our CASS workshops will be delivered by Mark Lester, Managing Director, Walbrook Partners.

Mark has over 40 years’ experience in Financial Services and has been a senior manager with responsibility for the back office and transfer agency functions at Framlington and as Financial Controller of the MGM Assurance Group, including the Unit Trust Management Company. As part of these appointments, Mark was responsible for ensuring compliance with the regulations including those with respect to client money and assets, fund pricing, fund accounts, settlements, income collection and transfer agency.

Mark has been a consultant since 2000; assignments have included the design and implementation of operational and financial processes; client money processes and bank account structures of platforms, service providers and asset managers. In addition, he has undertaken client money reviews and remediation of processes and reconciliations, operating model design, outsource provider and system selection, as well as regulatory support, client money training and advice.