CASS Compliance in Practice - The Complete Client Money & Custody Workshop - Learn Live

Introduction

This live and interactive workshop provides a complete, practical guide to the CASS framework in operation, from segregation and reconciliation through to oversight, breach management and reporting. Delegates will learn how to apply the FCA’s client money and custody rules in real-world scenarios, strengthen control environments, and prepare confidently for audit and regulatory review.

Through case studies, live polling and discussion, the session highlights what good looks like in CASS compliance. It explains how to identify early warning signs of failure, avoid common audit findings, and build effective relationships with key stakeholders including finance, operations, auditors and the FCA. By the end of the workshop, delegates will leave with clear actions to improve assurance, evidence compliance and enhance their firm’s CASS governance arrangements.

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.