Intro to CASS is part of the Informa Connect Division of Informa PLC

This site is operated by a business or businesses owned by Informa PLC and all copyright resides with them. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Number 3099067.


December 2019

Intro to CASS

Increase your Understanding of CASS 6 & 7, RP Requirements & FCA Reporting

Practitioner-Led - Real-Life Experiences

Key Features

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.

Key Objectives

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.

Key Themes
  • 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.