11 December 2019
Intro to CASS
Increase your Understanding of CASS 6 & 7, RP Requirements & FCA Reporting
Practitioner-Led - Real-Life Experiences
Ten years have passed since the failure of Lehman brothers, during which we have seen a number of high profile CASS fines demonstrating that the continued regulatory focus in this important area. This interactive workshop covers all key compliance requirements.
Attending this workshop will increase your knowledge in:
- The client money rules (CASS 7)
- The client asset rules (CASS 6)
- The CASS resolution pack requirements
- FCA reporting
- Effective CASS governance
Who Should Attend?
This workshop is designed primarily for operations, risk and compliance professionals and those responsible for CASS oversight roles; however, this course would equally be of benefit to those who are working within Finance.
- Internal CASS controls
- Key CASS, SUP and SYSC rules to know
- Meaningful CASS MI
- Industry changes to the CASS audit regime
- Principles of Good CASS governance
- 5 pillars of CASS
Meet Your Workshop Leader!
Stewart Lancaster is an author, speaker, independent consultant and CASS specialist having senior management & positions across a range of financial services firms over the last 15 years, specialising over the last 8 years in CASS where he has written extensively on the subject including authoring some of the industry qualifications and seminars.
Stewart is currently the Operational Regulatory Compliance Manager at Quilter Investors where he has day to day operational oversight for CASS. Stewart also sits on the CISI Client Money & Assets panel.
Knowledgeable, Informative & Insightful
Director, CASS Office
Useful day out of the office for general CASS awareness across the industry.
Senior Manager Global Custody Operational Services
HSBC Securities Services
Manager, Middle Office and Control
Arbuthnot Latham & Co Limited