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 for this module include:
Understand the term ‘collateral’ and how CASS 3 protects client assets held as collateral
They will also be aware of the requirements for firms to keep adequate records if they hold client assets under collateral arrangements.
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