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Join us for a much-requested webinar to talk about the evolution of SM&CR and the personal accountability regime and what it means for a complicated discipline like CASS.

As we know managing CASS compliance is a complicated balancing act and as a result CASS governance can often be an even greater challenge. As we move into this new world of personal accountability, a number of firms are concerned about where to start to ensure that they can evidence reasonable steps and manage personal risk across their organisations. Whilst this challenge may seem impossible in this webinar we will cover how your firm can:

  • Keep pace with The FCA expectations over Client Money & Assets and enhanced personal accountability
  • Recognise the challenges faced in managing a CASS framework under SM&CR
  • Evidence to the regulator how you are effectively delegating responsibility through a roles and responsibility framework
  • Build a CASS framework to identify, assess & reduce personal accountability

Who should attend?

  • Management, compliance and administration professionals who hold or control client money and/or custody assets, particularly: Directors and senior management who will hold the new Prescribed Responsibility for CASS
  • The senior manager who holds the CASS operational oversight (CF10a) function
  • Staff or market participants with day-to-day responsibilities for the protection of client money and assets

If you require more information please email learning@pimfa.co.uk.


Kevin Sloane
Senior Policy Adviser
Paul Barnacle
Head of Operations
Quilter Cheviot
Nisha Sanghani
Rosediem Consulting

Booking and Registration Information

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16th September 2019
15:00 - 16:00
Event Categories:


CPD Hours
Morning Break
Afternoon Break


Zoom Webinar