UK Client Assets (CASS) Regulation Training

What you'll learn

Requirements

• Basic familiarity with UK financial services regulation
• No prior CASS knowledge required

About this course

This course provides a practical overview of the FCA's Client Assets (CASS) regime, including key requirements for protecting client assets and the consequences of non-compliance. It covers core chapters such as CASS 3, 6, 7, 8 and 10, with focus on segregation, record-keeping, reporting, and recent regulatory developments. Suitable for beginners, intermediates, and refresher training, it is ideal for compliance officers and financial services professionals handling client assets.

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.