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