About the Course
This course will teach you the essentials of CASS rules, responsibilities, best practices and lessons learned from past failures.
Duration
90 minutes
Course Aims
The aim of this course is to provide financial services professionals with the necessary knowledge and understanding of the CASS rules, including the regulatory requirements and best practices for compliance. The course is designed to help participants learn about the roles and responsibilities associated with CASS, and understand how to manage this complex area effectively. Additionally, the course will cover lessons learned from past CASS compliance failures, helping participants to identify and avoid common pitfalls.
Learning Outcomes
Our training course provides a comprehensive understanding of the CASS and Certification Regime, tailored to anyone about to take on the Certification Function for CASS. Participants will learn the key principles and requirements of the CASS Regime, including the purpose and scope of client money and asset rules, as well as the implications of the Certification Regime
The course also covers the elements of a successful CASS framework, including governance, risk management, and operational controls, and develops effective strategies for managing CASS-related risks, including the identification and mitigation of operational and compliance risks.
Participants will gain a practical and hands-on approach to understanding and succeeding in their roles as holder of the CASS Certification Function, including the importance of effective communication, collaboration, and engagement with stakeholders, such as clients, regulators, and other internal and external parties.
By the end of the course, participants will have developed a practical action plan for discharging their responsibilities under the Certification Regime, ensuring that they are well-prepared and confident in their new role.