Essential Client Money and Assets

Vivienne Bannigan
14
Jul

Essential Client Money and Assets

by Vivienne Bannigan
 
45 people viewed this event.

Course Overview 

Increased consumer detriment can arise when authorised firms default or exit the market. Poor records and ineffective segregation procedures create a slower, costlier and more uncertain outcome for the customer and associated reputational damage to the Financial Conduct Authority (FCA) and United Kingdom financial markets. During periods of economic uncertainty and recession, this risk increases.

Learning Objectives

This webinar will provide delegates with an overview of the regulatory requirements; including: 

  • Describe the regulatory drivers behind the CASS Regime;

  • Illustrate the FCA Principles and Objectives for CASS protection;

  • Demonstrate practical examples from National Competent Authorities (NCAs) enforcement and case studies including CASS Resolution Pack Visits;

  • Explain the scope of rules and guidance including cross-jurisdictional impacts; and

  • Present the roles and responsibilities of the firm, specifically the part of the client asset officer and the Board.

Schedule 

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Date: 

July 14, 2020 

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Time: 

09:00am to 10:30am

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Duration: 

1.5-hours

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Price: 

£90 + VAT 

Who is Vivienne Bannigan

Vivienne is a financial services professional with over 20 years’ experience in regulatory and operational risk in the United Kingdom, Europe and internationally. Vivienne has held various roles across several organisations including the Financial Conduct Authority (FCA), Royal Bank of Scotland and UK Finance. Vivienne has worked in wholesale policy covering the Market Abuse Regime, Markets in Financial Instruments Directive (I & II), Securities lending, Client Money , Transaction Reporting and mentoring her colleagues along the way. Vivienne designed and implemented training and communications to support programme delivery, including the Markets in Financial Instruments Directive and Client Money and Assets. Vivienne holds various qualifications including an M. Econ. Sc. in European Economics and Public Affairs. Vivienne is an accredited Dispute Resolution Mediator and is completing an MA in Community Psychology at the University of Brighton. Vivienne is passionate about sailing and supporting individuals to achieve their potential while at the same time, creating an environment that is professional, practical and participative.

 

Date And Time

14-July-2020 - 09:00
- 10:30
 

Location

 

Venue

Live Online Course
 

Event Category

online
 
 
 

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