UK Client Assets Sourcebook (CASS) Compliance Training

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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?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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