Client Assets CASS

This course covers the FCAs Client Assets Sourcebook requirements to ensure that you can identify and protect client assets: how to identify if you are a CASS large, medium or small firm and how to perform internal reconciliations using the method set out by the FCA.

Designed for United Kingdom

Course running time is 23 Minutes

This course is customisable

Course Summary

Our Compliance Training course on Client Assets, will provide you with comprehensive knowledge on managing and safeguarding your clients’ assets, which is a crucial aspect of financial services.

As a financial services provider, it is important to understand your responsibilities towards your clients’ assets, which includes cash, securities, and other assets held on behalf of your clients. Our course is designed to provide you with a thorough understanding of the regulatory requirements and best practices for managing client assets, and help you develop the necessary skills to ensure compliance with the regulations.

The course covers a range of topics related to client assets, including the principles of client asset protection, segregation and reconciliation requirements, the use of third-party custodians, and client money rules. You will also learn about the Financial Conduct Authority (FCA) Client Asset Sourcebook (CASS), which sets out the rules and guidance for managing client assets.

Our course is suitable for professionals working in financial services, including investment managers, stockbrokers, and custodians, as well as those aspiring to work in these roles. It is also suitable for individuals who wish to gain a deeper understanding of client asset management and the regulatory landscape.

At the end of this course, you will have gained a comprehensive understanding of the regulatory requirements and best practices for managing client assets. You will also be equipped with the skills and knowledge necessary to ensure compliance with the regulations and provide the highest level of service to your clients.

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Client Assets CASS Learning Outcomes

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