UK Client Assets (CASS) Regulation Training

Financial Conduct Authority

Course Content

32 lessons · 1 hr 1 min

Module 1

UK Client Assets Regulation Training

Introduction to UK Client Assets regulationFree

Financial Conduct Authority

What is client assetsFree

When does CASS apply to a firm

Consequences of non-compliance

Module 2

CASS 6 — Safe Custody Assets

What are custody assets

Holding of custody assets — key requirements

Depositing assets with third parties

Depositing custody assets with third parties — due diligence

Depositing assets with third parties — agreements

Records and accounts — key principles

Overview of reconciliation process

Module 3

CASS 7 — Client Money

What is client money

Client money — banking exemption

Client money segregation

Depositing money with third parties — due diligence

Acknowledgement letter requirements

Records and accounts principles

Overview of client money reconciliations

Module 4

CASS 3 — Collateral

CASS 3 requirements

Module 5

CASS 8 — Mandates

CASS 8 mandate requirements

CASS 8 — Mandates

Module 6

CASS 10 — CASS Resolution Pack

Insolvency event

CASS RP journey

What is the CASS RP

CASS RP requirements

CASS RP contents

CASS RP governance — considerations

Module 7

Other CASS Requirements

Other CASS requirements

Module 8

Case Study

Case study

Module 9

Conclusion

Module 1 · Lesson 2

UK Client Assets Regulation Training

Financial Conduct Authority

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