CASS Certificate

Name: CASS Certificate
Price: 290 £
Availability: InStock

by London Governance & Compliance Academy

This is a 90 minutes interactive iLecture on the Ins and Out’s of the CASS Resolution Pack.

£290

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Duration

2 Hours

Course Details

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 iLecture 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:

This course 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.

LGCA is a multi-accredited UK learning provider for professional financial education, specializing in the areas of governance, risk, compliance, and cybersecurity.

LGCA is part of the European Institute of Management and Finance (EIMF) Group, one of Europe’s leading institutions for certified and executive education, eLearning and bespoke learning solutions in the financial sector.

The Group provides practical and essential knowledge and skills for ambitious professionals seeking excellence in their careers and for companies seeking to meet the demands of today’s financial sector.

Invested in Your Future:

Our business is professional education, and we are passionate and committed to what we do.

Our 200+ specialised courses cover a wide range of subjects, including regulatory compliance, financial crime, risk management, accounting, banking, compliance, soft skills, taxation, marketing, corporate governance, leadership, law and more.

LGCA is an accredited training partner (ATP) of the Chartered Institute for Securities and Investment (CISI), offering fully online training courses for host of CISI qualifications.

We are also an accredited training institution with the International Governance & Compliance Association (IGCA), the Association of Accounting Technicians (AAT), the International Association of Privacy Professionals(IAPP) and an accredited training provider of EXIN.

As well as accredited courses, we provide many vocational and other specific programs to assist in your daily responsibilities and career progression.

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City of London Branch

34 Lime St, City of London, London

Teacher's Name
Vivienne Bannigan
Teacher's Experience
Vivienne Bannigan LGCA Expert TrainerVivienne is a financial service professional with over 20 years of 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.
Gender
Female
Teacher's Nationality
N/A

CASS Certificate

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City of London Branch

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