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What is CASS?
What is CASS?

The Client Assets Sourcebook (CASS) – Origins and Objectives The CASS was instituted by the Financial Conduct Authority (FCA), and represents a fundamental cornerstone in the regulatory framework of the United Kingdom’s financial ...

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A New Consumer Duty
A New Consumer Duty

In July 2022, the Financial Conduct Authority (FCA) established the definitive regulations and advice pertaining to a fresh Consumer Duty, designed to instate elevated and more distinct standards of consumer protection across the sphere of ...

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Red Flags
Red Flags

Unearthing bribery and corruption in its myriad forms is an expanding sphere of activity within all financial organisations across every type of jurisdiction globally. The UN approximates that bribes amounting to $1 trillion are exchanged ...

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Anti-Bribery and Corruption
Anti-Bribery and Corruption

In essence, corruption is a broad term for misconduct in the workplace and the business. There are many types of corruption in business, and bribery is a form of corruption. This means bribery will always be corruption, but not all forms of ...

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Handling Conflicts of Interest
Handling Conflicts of Interest

A conflict of interest arises when an individual’s personal interests interfere, or have the potential to interfere, with their professional duties and responsibilities. In essence, it occurs when a personal gain could influence ...

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The Whistleblower Speaks Up
The Whistleblower Speaks Up

Whistleblowing is a vital process that helps expose and address misconduct, illegal or unethical practices within organisations. It should be clear to every employee and manager exactly how and why it is important, and its processes should ...

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