CASS Resolution Pack
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 firstname.lastname@example.org for a quotation and to book date and time.
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.
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.
Duration - 1.5