About the Course

Holding the CASS SMF covers the key responsibilities within the CASS and Senior Manager Regimes. It’s designed for professionals who need to know how to perform effectively as a CASS Senior Manager. You’ll gain knowledge and confidence for handling your prescribed responsibilities, staying compliant, and making sound decisions.

Duration

Half day (3 hours)

Course Aims

• To provide a practical understanding of the CASS regime and the Senior Manager Regime as they relate to each other, with a focus on the role of the CASS Senior Manager.
• To equip you with the knowledge, skills, and tools that enable you to meet expectations as a CASS Senior Manager whether you’re new to the post or want to refresh your approach.
• To enable you to confidently discharge your responsibilities and demonstrate compliance with regulator standards.

Learning Outcomes

By taking part, you will:

• Learn what the CASS Senior Manager role involves under the Senior Manager Regime and its importance for client asset protection and firm-wide compliance
• Understand core CASS principles, prescribed risks, governance, and regulatory responsibilities for Senior Managers
• Identify and address operational challenges—such as conduct risk, breaches, and reporting—using strong oversight and decision-making frameworks
• See how CASS duties interact with broader Senior Manager responsibilities to tackle practical issues confidently
• Apply knowledge through case studies, exercises, and realistic scenarios illustrating typical pressures and solutions
• Work effectively with senior management, compliance teams, and external advisors to meet regulatory expectations

By the end of the course, you’ll have a practical action plan for your CASS Senior Manager duties, and you’ll feel prepared to lead your firm through audits, regulatory reviews, and complex client asset questions.