CASS 6 Custody Assets Training

What you'll learn

Who this course is for

• Financial professionals seeking to enhance their knowledge and awareness of CASS 6 principles.

About this course

This course provides a practical introduction to the UK client assets regime, with a focus on CASS 6 and the protection of custody assets. Client assets sit at the heart of the FCA's Principle 10, and firms are expected to keep client assets separate from their own so that it can be returned quickly and in full if the firm fails. The course explains how that expectation is translated into detailed rules, and what those rules mean day to day. It is aimed at staff in operations, finance, compliance, risk and internal audit who handle or oversee client money, and no prior CASS knowledge is assumed.

Rose is a CASS specialist with over ten years' experience in CASS compliance and regulatory advisory. She has worked at JP Morgan within the CASS Governance and Oversight team, supporting multiple lines of business across Markets, Securities Services and Banking functions. She has demonstrable leadership in the execution and delivery of complex CASS audit and advisory engagements, including s166 projects for global custodians with the EY CASS team. She brings a wealth of experience to a broad spectrum of clients.