CASS Resolution Pack

LGCA

CASS Resolution Pack

by LGCA
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The Ins and Outs of the CASS Resolution Pack

The London Governance & Compliance Academy is excited to announce the below Online LIVE Course that will provide you with practical knowledge and in-depth understanding on this specialised subject.

Upskill your organisation with this is on-demand live online course.  Please contact us at info@lgca.uk for a quotation and to book date and time.

Course Overview 

Since 2010 the Financial Conduct Authority (FCA) has made the protection of Client Money and Assets (CASS) a priority.

The intensive and intrusive regulation allows the regulator to enforce hefty fines on the industry for the lack of appropriate management and oversight. The CASS Resolution Pack implementation brought a new interpretation to FCA spot checks. Firms can have the regulators in their businesses within 48 hours of receiving a call from the FCA informing them of a visit.

This seminar will provide delegates with an overview of the regulatory requirements; assess what these requirements practically mean for firms; and discuss how firms might prepare themselves for such a visit. 

Learning Objectives

This course will cover the following:

  • An understanding of the importance CASS Resolution pack to the FCA’s approach to assessing culture and conduct;

  • Examine the regulatory requirements under CASS 10;

  • Discuss the complexities in relation to the obligations; and

  • Identify risks and how firms can provide assurance via their control and assurance framework.

Schedule

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Date:

TBD

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Time:

TBD

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Duration:

1.5-hours

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Price:

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Additional Details

Duration - 1.5

 

Date And Time


 

Location

 

Venue

Live Online Course
 

Event Category

On-Demand

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