About the Course

Gain practical insights into CASS for Operations. This course explains how to comply with the Client Assets Sourcebook in day-to-day operational roles. Learn how to recognise your firm’s obligations, support key processes, and maintain high standards for client asset protection.

Duration

90 minutes

Course Aims

This course aims to provide participants with a detailed and practical overview of CASS for Operations and its importance in financial services.

• You will learn how key CASS operations processes work and why they matter for compliance and client protection.
• You will identify the responsibilities of those involved in these processes, from client money management to proper asset segregation.
• The course aims to equip you with the practical knowledge and skills to successfully manage relationships with regulators, teams, and clients within the framework of CASS for Operations.

Learning Outcomes

By the end of this course, you will:

• Understand the main CASS principles and how they safeguard client assets in the banking and investment industry.
• Be able to spot risks in common CASS processes like reconciliation, money movements and asset segregation.
• Gain practical skills to identify, monitor, and report on key CASS processes – covering areas like reconciliation, client money, and asset protection.
• Be able to describe the roles and duties of all stakeholders involved in CASS, ensuring everyone knows their individual responsibility and contribution to compliance.
• Develop confidence in collaborating with colleagues and acting swiftly to address any issues or breaches.

Throughout the training, you will take part in quizzes, case discussions, and examples that bring CASS for Operations to life and prepare you for real-world challenges. This makes the learning both clear and practical, helping you apply CASS rules with ease in your workplace.