Accreditations and Endorsements
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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 (CASS).
Learning Outcomes for this module include:
Understand CASS 9 and the firms that the sections apply to
Gain awareness of the reports and statements that firms providing prime brokerage services must supply to clients.
Ability to explain what prime brokerage is and the chapters of CASS that prime brokerage firms must comply with and know what a prime brokerage disclosure is, when one is needed and what it includes.
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 […]
This module examines CASS 6 in detail and demonstrates how to comply with the regulatory requirements therein. CASS 6 sets out the rules that […]
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 […]
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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