About the Course

CASS for Support Functions equips support staff in banks’ Legal, Compliance, Monitoring, and Audit teams with the knowledge and tools to monitor, advise, and audit compliance with the CASS regime. Participants will learn the regulatory requirements, the three lines of defence, and best practices for scoping and managing CASS risks.

Duration

90 minutes

Course Aims

CASS for Support Functions aims to provide participants with an understanding of the CASS regime and their role in complying. Participants will gain an appreciation of the key principles of CASS and learn how to apply these principles in their day-to-day work. The course will provide practical guidance on how to monitor, support, advise, and audit the business’s compliance with the CASS regime. By the end of the course, participants will have a clear understanding of their responsibilities and be equipped with the tools and knowledge to carry out their roles effectively.

Learning Outcomes

By the end of the course participants will:

• Understand the CASS regime and your role in managing CASS risks
• Learn the regulatory objectives behind CASS
• Examine the three lines of defence
• See how regulatory expectations differ across firm sizes
• Explore best practices for scoping and managing CASS risks
• Cover risk-based scoping, sample selection, and testing
• Recognise the limits of external audits for CASS risk management
• Learn about alternative approaches to CASS compliance
• Develop skills for effective communication and stakeholder engagement
• Gain knowledge and tools to ensure CASS compliance
• Understand your responsibilities and the regulatory framework