A Comprehensive Guide to FCA's CASS Compliance - 6 Essential Modules

Introduction

The protection of a client’s property is paramount in the financial services industry.

The FCA's Client Assets Sourcebook (‘CASS’) sets the rules, and this newly updated webinar series will equip you with the expertise to navigate these regulations confidently and effectively. Presented by financial services expert Steve Fairclough, we’ll provide you with practical advice on building and overseeing a compliant framework and surviving the CASS Audit.

From custody and client money handling to mandates and client communication, you'll gain practical knowledge and insights to ensure compliance and build client trust.

What You Will Learn

This modular webinar series will cover the following:

• Module 1: General Principles
• Background and Purpose
• Why is this high on the regulatory agenda?
• High level look at key foundational factors
• Pay away
• Module 2: CASS 7 Client Money
• Exemptions
• Identification
• Segregation
• Reconciliation
• Module 3: CASS 6 Custody Assets
• Asset segregation
• Custodian Due Diligence
• Asset Reconciliation
• Collateral, Right to Use, TTCAs
• Module 4: CASS 8 & 9 - Mandates and Information to Clients
• Mandates and Means
• Records and Internal Controls
• Disclosures and Client Reporting
• Client Agreements
• Module 5: CASS 10 - the Resolution Pack
• Purpose
• Documentation and timescales
• Module 6: Governance and Audits
• SMF Responsibilities - CASS Operational Oversight
• Small, Medium, Large
• CMARs
• Good oversight
• Audits and the FRC Standard
• Primary and Secondary Pooling Events

This pre-recorded webinar will be available to view from Friday 17th July 2026

Alternatively, you can gain access to this webinar and 2,101 others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.