UK Client Assets Sourcebook (CASS) Compliance Training

AI authoring tools for easy customization
Additional languages available
Meets accessibility standards
Auto-save training, mobile-friendly
Deliver on Ethena or your LMS (SCORM)

Course Summary

The FCA’s Client Assets Sourcebook (CASS) protects the money and assets firms hold for their clients. This Ethena course shows your team how to keep client assets safe, segregated, and ready to return if the firm ever fails.

What the CASS rules require
Keeping client money properly segregated
Mandate controls over client assets
Building and maintaining resolution packs

Included Modules:

CASS: The Basics

Introduces the FCA’s Client Assets Sourcebook (CASS) and why firms holding client money or safe custody assets must keep them protected and separate.

Your Obligations Around Custody and Client Money

Covers the CASS 6 custody rules and CASS 7 client money rules, including segregation, reconciliation, and keeping client assets safe if a firm fails.

CASS Mandate Obligations Explained

Explains the CASS 8 mandate rules, which govern how firms control written authority to handle a client’s money or assets held elsewhere.

Preparing and Maintaining CASS Resolution Packs

Explains the CASS 10 resolution pack requirements, helping firms keep records that let an insolvency practitioner return client assets quickly.

Why is this training important for workplaces?

CASS rules govern how firms safeguard the client money and assets they hold, keeping them separate from the firm’s own funds so customers get their property back if the firm fails. Get it wrong and the consequences are serious: misallocated funds, failed reconciliations, FCA enforcement action, hefty fines, and clients who can’t recover what’s theirs. This training helps your people understand their day-to-day CASS obligations, from segregation and record-keeping to reconciliations and reporting, so the firm stays compliant and clients keep their trust in you.

"Ethena helped us embed clear standards directly into how we operate and grow. That's what designing for trust at scale actually looks like."

Jacob Leon Beier Chief Compliance Officer & Counsel, TriMark USA

"I needed to train 500 people on side agreements in two weeks. Ethena made it happen — custom content, quick turnaround, no drama."

Darryl Cyphers, Jr. Senior Director of Legal Compliance, Klaviyo

"Making a custom training used to take hours. Now, it's as easy as uploading a PDF, and everything comes to you fully formatted. I was blown away."

Giovanna Travieso Lead-People Experiences & Growth, Magic Leap