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Overview
How client money and assets are handled by FCA-regulated firms is a core focus for the Financial Conduct Authority, and the consequences of failure are severe (both in terms of FCA penalties and reputation). The FCA continues to review and update its requirements, so firms need to keep pace with a moving target.
What you will learn
This Client Money and Assets (the CASS Regime) - Identify, Assess and Reduce Risks course at BPP University focuses on providing knowledge, understanding and insight in relation to the Client Money and Asset Sourcebook (CASS) as a document and as a body of regulation applicable to thousands of firms.
This course focuses specifically on the Client Money rules (CASS 7), and the Client Assets rules (CASS 6), looking closely at the requirements and the procedures that firms need to have in place to ensure compliance.
Programme Structure
By the end of this workshop you should be able to:- Summarise the regulatory concerns in relation to Client Money and Assets
- Explain CASS risks and key FCA regulatory principles
- Clarify the regulatory requirements and how to practically apply them
- Explain the importance of getting reconciliations right
- Explain record keeping obligations and their significance
- Effectively assess your firm’s CASS oversight framework
Key information
Duration
- Part-time
- 1 days
Start dates & application deadlines
- StartingApply anytime.
Language
English
Delivered
Online
Campus Location
- London, United Kingdom
Disciplines
Finance View 121 other Short Courses in Finance in United KingdomWhat students do after studying
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Academic requirements
We are not aware of any specific GRE, GMAT or GPA grading score requirements for this programme.
English requirements
We are not aware of any English requirements for this programme.
Other requirements
General requirements
Who is the course for?
Management, compliance and administration professionals whose companies are regulated by FCA and hold or control client money and/or custody assets, particularly:
- Holders of CASS operational oversight functions
- Directors and senior management with client money responsibilities
- Staff or market participants with day-to-day responsibilities for the protection of client money and assets
Tuition Fees
Tuition fees are shown in and the most likely applicable fee is shown based on your nationality.
-
International Applies to you
Applies to youNon-residents906 GBP / full≈ 906 GBP / full -
Domestic Applies to you
Applies to youCitizens or residents906 GBP / full≈ 906 GBP / full
Funding
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