• Lesson

CASS 1 and 1a – CASS Application and CASS Firm Classification

  • 45m
  • Editable
  • Assessment

In this module, we examine the regulatory requirements set out in Chapters 1 (Application and Purpose) and 1A (Firm Classification and Operational Oversight) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS).
Learning Outcomes for this module include:
Clearly understand the scope and purpose of CASS 1.
Identify the requirement for firms to determine its CASS firm type each year and to allocate a suitable representative to oversee operational compliance with CASS rules.

Watch Content Preview

Accreditations and Endorsements

CPD certified

Also in Financial Services: Client Asset Sourcebook (CASS)

CASS: An Overview
lesson / 33m

This module has been designed as a guide to this sourcebook. We explore key regulatory requirements and demonstrate how to satisfy the FCA’s expectations […]

View
CASS 3
lesson / 30m

This module examines the regulatory requirements set out in Chapter 3 (Collateral) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS). Learning Outcomes […]

View
CASS 5
lesson / 30m

This module introduces CASS 5, which contains the FCA’s client money rules for insurance intermediaries. We provide an overview of what the rules are […]

View
CASS 6 – Custody Rules
lesson / 60m

This module examines CASS 6 in detail and demonstrates how to comply with the regulatory requirements therein. CASS 6 sets out the rules that […]

View
CASS 7 and 7A
lesson / 1h 30m

Chapter 7 of the FCA’s Client Assets Sourcebook sets out the rules that apply to a firm when it holds or receives client money. […]

View
CASS 8 – Mandates
lesson / 33m

In this module, we will examine the regulatory requirements set out in Chapter 8 (Mandates) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook […]

View
CASS 9 – Information to clients
lesson / 33m

This module will examine the regulatory requirements set out in Chapter 9 (Information to clients) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook […]

View
The CASS Resolution Pack – CASS 10
lesson / 36m

his module examines the regulatory responsibilities placed on firms in relation to chapter 10 (CASS Resolution Pack) of the Financial Conduct Authority’s Client Assets […]

View
CASS 11: Debt management client money
lesson / 33m

Chapter 11 covers FCA sourcebook in relation to the regulatory responsibilities of firms which apply to debt management firms that receive or hold client […]

View