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5.0 (358)·6h 26m · 47 lectures
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UK Client Assets (CASS) Regulation Training
Client Assets (CASS) Sourcebook principles |CASS 3| CASS 6| CASS 7| CASS 8| CASS 10|CMAR| Case study|
5.02 reviews3 learners
- Intermediate
- 1h 11m video
- 32 lectures
- English
- Updated 2025
Taught by Rose Chisvetoh
- 1h 11m of on-demand video
- 32 lectures across 9 sections
- English audio
Curriculum
9 sections32 lectures1h 11m total
- Introduction to course and learning objectives1:08
- Financial Conduct Authority0:42
- What is Client Assets0:21
- When does CASS apply to a firm0:33
- Consquences of non-compliance0:41
- What are custody assets0:56
- The holding of custody assets - key requirements1:02
- Depositing assets with third parties1:10
- Depositing assets with third parties - due diligence1:58
- Depositing assets with third parties - agreements1:08
- Records and accounts - key principles1:28
- Overview of reconciliation process2:14
- What is client money1:46
- Banking exemption1:09
- Client money segregation0:46
- Depositing money with third parties - due diligence1:33
- Acknowledgement letter requirements1:17
- Records and accounts principles1:05
- Overview of client money reconciliations1:53
- Collateral arrangements3:37
- CASS 3 requirements1:37
- Mandate requirements3:17
- Examples of mandates1:50
- What is an insolvency event2:09
- The CASS Resolution Pack journey1:10
- What is the CASS Resolution Pack1:34
- CASS RP Requirements2:39
- CASS RP contents1:57
- CASS RP Governance considerations5:57
About this course
This comprehensive course is designed to provide participants with a thorough understanding of the regulatory framework governing Client Assets (CASS). The course covers key principles and requirements set forth by the Financial Conduct Authority to protect client assets. Participants will explore topics such as segregation of client assets, record-keeping, reporting obligations. The course also addresses recent regulatory developments and their implications for financial institutions. The course also outlines the …
Before you start
- There are no prerequisites for taking the course.
Who it’s for
- This course is designed for all Financial Professionals that want to increase their knowledge and awareness of the CASS regulation.
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