Handling client assets and money - financial
services - one day course
The aim is to provide a broad overview and understanding of the
FCA Rules, particularly in CASS 3, 6 and 7 and the general
compliance requirements associated with the handling of client
assets and money.
- Introduction to FCA regulations - zero tolerance rules within a
- The expectations of the Principles for Business and Senior
Management Arrangements, Systems and Controls
- The current regulatory concerns - the 'hot buttons'
- The objective - the CMAR
- The CASS rules:
- Collateral provisions
- Safe custody rules
- Client money and bank rules
- Reconciliations and client money calculations
- Notifiable breaches
- Gap analysis/health check, in the client money audit.
- Explain the regulatory responsibilities of firms when handling
- Explore the FCA high level obligations which relate to client
- Describe the oversight requirements, particularly approved
- Interpret the specific applications, requirements and rules of
the CASS sourcebook:
- Custody of Assets
- Client money
- Explain the requirements for reconciliation, recording and
- Gauge the current regulatory concerns and priorities
- Identify any reviews or changes that may be required.
Who should attend?
This course is designed for directors and senior managers with
client asset and money responsibilities, accounting staff and
supervisors, and compliance officers in IFAs and investment
Attendance of this course awards up to 6 CPD
hours where you consider it relevant to your
professional development needs.
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Scheduled dates for this course have now sold out, please keep
checking the website for updates to availability. Dates are added
subject to demand and can also be run in-house for corporate