- Anti-Bribery and Corruption Workshop
- Client Money and Assets Workshop
- Data Protection Workshop
- Financial Crime Workshop
- Roles of Compliance Officer and Money Laundering Reporting Officer Workshop
- Approved Persons Workshop
- Financial Services Regime
- Financial Promotion Workshop
- Retail Products Workshop
Client Money and Assets Workshop
The Financial Conduct Authority (FCA) has emphasised the importance it places on client money and assets protection and even described it as its regulatory "mission". It is a key factor that customers must have confidence that their money and assets are safe and that the firms holding them have strong management and oversight control over their businesses. That is why firms should have policies and procedures in place to safeguard and manage client money and assets. But more importantly, it is indispensable that firms' staff should have the adequate and appropriate formal training and knowledge in this matter.
The workshop will provide delegates with an overview and understanding of the FCA regulations on client money, highlighting the key requirements of the rules within Client Assets (CASS) Sourcebook and how it applies to their firm. Delegates will also receive practical advice on specific FCA concerns, what are the necessary actions for the firm to implement and safeguard its client money and assets, and the improvements and changes that may be necessary within a firm.
Key Learning Objectives:
- Understand the importance of the FCA CASS policy statement 14/9 introducing rule changes and their impact on your firm
- Client money/asset identification and protection via trust status accounts
- Appointment & review of credit institution/bank CASS Resolution
- The methodology used to manage the client money process
- Client money requirement computation
- Organisational arrangements
Who should attend?
- Holders of the CASS Operational oversight (CF10a) function
- Directors and senior management with client money responsibilities
3 hour session
Schedule and Price
- 2016 Dates:
- April 21st
- June 2nd
- July 14th
- September 22nd
- November 3rd
- Time: 09:00 to 12:00
- Location: 3 Beeston Place, Belgravia, London SW1W 0JJ
- Price: £350 plus VAT and a 10% discount for more than one person from a single firm.
- Please Note: Maximum of eight participants per workshop.
All attendees will receive a participation certificate with the workshop date and times, attesting to their participation in the workshop.