CASS Compliance in Practice - A Practical Workshop for CASS Compliance Teams

Introduction

This new virtual classroom seminar covers key CASS operations processes related to segregation, reconciliation, client money and asset protection, and how they relate to each other. Participants will also learn about the oversight and reporting requirements for CASS compliance and how to ensure accurate and timely reporting.

Through interactive exercises, case studies, and discussions, participants will gain a thorough understanding of the purpose and scope of CASS regulations, and how non-compliance can impact clients, the firm's reputation, and regulatory consequences. Members of the CASS office will learn best practices for managing relationships with key stakeholders involved in CASS-related processes, including clients, internal teams, and regulatory bodies.

What You Will Learn

This live and interactive course will cover the following:

• Define the purpose and scope of CASS and explain its importance to operational success in the banking industry
• Identify the key CASS operations processes, including those related to segregation, reconciliation, client money and asset protection, and understand how they relate to each other
• Explain the risks associated with non-compliance with CASS regulations, including the potential impact on clients, the firm's reputation, and regulatory consequences
• Describe best practices for managing relationships with key stakeholders involved in CASS-related processes
• Discuss case studies and lessons learned from past CASS-related failures and practical implications
• Understand your individual roles and responsibilities in relation to CASS compliance, and how to effectively collaborate with other stakeholders to ensure compliance
• Demonstrate an understanding of the reporting requirements for CASS compliance, and how to ensure accurate and timely reporting
• Identify areas for improvement in your own CASS-related processes and develop action plans to address these areas

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.