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22 June 2017
KNect House,

Client Assets Update for Investment Firms

An Interactive and Scenario-Based Workshop

Updates on CASS 6 & 7

Post PS 14/9 Update

Do not miss the Post PS 14/9 Update exploring challenges in embedding and interaction with the FRC Standard , taking place on the 21st of June. Save £200 by booking both events.


Who Should Attend?

This is aimed at those with responsibility for managing teams with significant CASS responsibility

It is principally aimed at ‘Head of’ and ‘Manager’ level grades from finance, compliance, client servicing and investor operations.

It could also be suitable for those with a development need and seeking to take on further responsibilities. 

Key Themes
  • Your role as a manager
  • Rules mapping
  • Fundamental principles of CASS
  • Custody including internal system evaluation method
  • Client money including exemptions, prudent segregation and non-standard method of internal reconciliation
  • Mandates and identification of mandates 
  • Working with third party administration and IT suppliers
  • Auditor expectations

This workshop will use scenarios and an interactive approach aimed at sharing practical lessons in the application of CASS and deepening the understanding of managers of responsibility for ensuring their organisation remains compliant.

This will give you an up-to-date understanding of CASS and improving the effectiveness of your team’s compliance with the rules.

Meet Your Workshop Leaders!

Our workshop leaders Sarah Ouarbya and Edward Westrip from Mazars are highly experienced professionals with FRC and FCA experience.

Read more about them by clicking the button below!