Next Generation Regulatory Awareness Programme

Course objectives

Course Content

81 lessons · 2 hr 11 min

Module 1

Introduction

IntroductionFree

Course objectives

Module 2

The Regulatory Landscape

Introduction to the regulatory landscape

The regulatory landscape

Regulatory bodies in the United Kingdom

International regulatory bodies

Regulations (part 1)

Regulations (part 2)

Impact of regulation

Module 3

Introduction to Client Assets Regulation

Introduction to client assets regulation

What is client assets

When does CASS apply to a firm

FCA key messages and objectives

Consequences of non-compliance

Regulatory journey

End-to-end CASS journey

Module 4

CASS 6 — Custody Assets

Introduction to CASS 6

CASS 6 — custody assets

Depositing assets with third parties

Depositing assets with third parties — due diligence

Third-party agreements

Records and accounts — key principles

Overview of reconciliation process

Module 5

CASS 7 — Client Money

Introduction to CASS 7

What is client money

Client money — banking exemption

Client money segregation

Depositing money with third parties — due diligence

Acknowledgement letter requirements

Books and records

Overview of client money reconciliations

Module 6

CASS 3 — Collateral

Introduction to CASS 3 — Collateral

CASS 3 — Collateral

CASS 3 requirements

Module 7

CASS 8 — Mandates

Introduction to CASS 8

CASS 8 — mandates

CASS 8 — mandate requirements

Module 8

Other Requirements & Close

Other CASS requirements

Questions and answers

Thank you

Module 9

Governance framework

Introduction to Governance, Risk & Compliance

Course overview

Introduction to the governance framework

Why is governance important

Governance framework

Governance committee

Example of a governance framework

Management information

Module 10

Risk & accountability

CASS risk framework

CASS accountability framework

Module 11

Change management

Introduction to change management

Change management framework

Change readiness assessment

CASS implementation challenges

Module 12

Three lines of defence & third parties

Introduction to three lines of defence

Three lines of defence risk model

Introduction to third party arrangements

Third party arrangements & outsourcing

Module 13

Training

Introduction to training

Training

Module 14

Risks & controls mapping

Introduction to CASS risks & controls mapping

Illustration of a CASS risks & controls mapping

Identifying risks (what could go wrong)

Risk vs absence of control

Types of controls

How to write a control description

Example of a control description

Control evaluation

Module 15

Technology risks & controls

Introduction to technology, risks & controls

Technology governance

IT general controls (ITGCs)

ITGC objectives

ITGC categories

Module 16

AI governance

Introduction to AI governance

AI risks

AI governance pillars

Leveraging AI for regulatory compliance

Module 17

Q&A and close

Questions & answers

Thank you

Module 18

Case studies

Introduction to the case studies

Module 19

Student presentations

Student presentations — briefing

Module 1 · Lesson 2

Introduction

Course objectives