• Lesson

CASS 11: Debt management client money

  • 33m
  • Editable
  • Assessment

Chapter 11 covers FCA sourcebook in relation to the regulatory responsibilities of firms which apply to debt management firms that receive or hold client money. It aims to provide an understanding more of the Client Assets Sourcebook Chapter 11 (CASS 11) including statutory trust and bank account acknowledgment letters. they will learn the CASS 11 requirements on Account reconciliation and record keeping and the governance and supervisory expectations.
Learning Outcomes for this module include:
Understanding of the regulatory responsibilities placed on firms in relation to chapter 11 of the FCA’s Client Assets Sourcebook (CASS)
Ability to Identify the FCA’s high level principles which underpin the client money rules
Knowledge of the specific requirements for receiving and holding client money within the context of debt management

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 1 and 1a – CASS Application and CASS Firm Classification
lesson / 45m

In this module, we examine the regulatory requirements set out in Chapters 1 (Application and Purpose) and 1A (Firm Classification and Operational Oversight) of […]

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