Accreditations and Endorsements


This module examines CASS 6 in detail and demonstrates how to comply with the regulatory requirements therein. CASS 6 sets out the rules that apply to a firm when it is safeguarding and administering custody assets. These rules are complex and wide-ranging, as they apply to all financial instruments and services involving handling of clients’ safe custody assets.
Learning Outcomes for this module include:
Develop an understanding of the key elements of the CASS 6 framework and what firms need to do when holding client safe custody assets.
Become aware of when the custody rules apply and what to do when holding assets under Title Transfer Collateral Arrangements.
Identify what firms are required to do when depositing safe custody assets with third parties and know what records and accounts that firms are required in CASS 6.
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 […]
In this module, we examine the regulatory requirements set out in Chapters 1 (Application and Purpose) and 1A (Firm Classification and Operational Oversight) of […]
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 […]
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 […]
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. […]
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 […]
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 […]
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 […]
Chapter 11 covers FCA sourcebook in relation to the regulatory responsibilities of firms which apply to debt management firms that receive or hold client […]
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