CASS Governance & Oversight - A Practical Workshop for Boards & SMFs

Introduction

This new virtual classroom seminar is designed to help board and committee members in firms that are in scope of FCA CASS rules to learn about the roles and responsibilities of governing bodies as they pertain to CASS compliance.

This workshop also clarifies the expectations of holders of senior manager functions (SMF) as there can often be considerable overlap between SMFs for CASS. Additionally, the workshop will cover lessons learned from past CASS compliance failures, helping you to identify and avoid common pitfalls in your own firm.

What you will learn

This live and interactive course will cover the following:

• Understand FCA’s expectations and the importance of CASS compliance
• Learn from past failures of CASS compliance and apply those lessons to your own organisation
• Recognise the potential consequences of non-compliance with CASS rules
• Understand how to monitor and manage CASS compliance effectively
• Understand the SMF roles and responsibilities associated with CASS compliance
• Understand the regulatory requirements of CASS: client money and assets protection, mandates, and resolution pack
• Identify the best practices for governing bodies with responsibilities for CASS oversight

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.