About the Course

This practical course focuses on the CASS Certification Function and the Certification Regime. It gives you the knowledge and skills to succeed as a holder of the Certification Function. You will learn your responsibilities, regulatory expectations, and how to confidently manage key tasks in line with the rules.

Duration

Half day (3 hours)

Course Aims

• To give a clear understanding of the CASS regime, the Certification Function, and how the role relates to your firm’s operations.
• To equip you with the knowledge and practical skills needed to succeed in a certified role.
• To enable you to effectively discharge all responsibilities and ensure compliance within the SMCR.

Learning Outcomes

By attending, you will:

• Understand why this role is key for client asset protection, senior management responsibility, and compliance.
• Learn the purpose of the CASS regime and what the FCA expects from certified CASS role-holders.
• Know the main CASS rules and what they mean for people with the CASS Certification Function.
• Identify and manage risk—covering governance, controls, and compliance.
• Practise clear, effective communication with senior managers, compliance, third parties, and regulators.
• Keep FCA CASS records and processes up to date, and show your firm meets standards.
• Build skills for handling audits and responding to regulatory enquiries.
• Strengthen ability to solve problems as they arise in CASS oversight.

By the end of the session, you will be able to explain your responsibilities under the Certification Regime and implement effective systems and controls for managing client assets, reducing risks, and demonstrating accountability.