CASS 9 – Information to clients
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.
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