BEGIN:VCALENDAR VERSION:2.0 PRODID:-//PIMFA - Building Personal Financial Futures - ECPv4.6.12//NONSGML v1.0//EN CALSCALE:GREGORIAN METHOD:PUBLISH BEGIN:VEVENT DTSTART;TZID=Europe/London:20220125T123000 DTEND;TZID=Europe/London:20220125T153000 DTSTAMP:20240329T133245 CREATED:20211110T114520Z LAST-MODIFIED:20240115T121252Z UID:210016-1643113800-1643124600@www.pimfa.co.uk SUMMARY:PIMFA Live Online Training: Understanding CASS: how to spot CASS risks to your business DESCRIPTION:CASS is an ongoing area of interest for the FCA and we continue to see reminders that firms must regularly review CASS controls to ensure they’re robust and fit for purpose. \nSeptember’s Dear CEO letter to wealth management and stockbroking firms set out clearly the regulator’s expectation that firms with permission to hold client money or custody assets must “ensure your firm regularly reviews its client asset arrangements to ensure consumer’s money and custody assets are protected”. \nThis session will give an overview of the CASS rules\, with particular focus on the rules on custody assets and client money.  We will look at what ‘good’ looks like in terms of CASS governance and oversight and equip you to identify the key CASS risks that your firm will need to manage. \nOur specialist trainers from Bovill will look at the CASS rules in detail whilst also following a firm case study through the key areas of CASS to look at how the rules might impact a firm and the risks that firms should look out for.  We aim to make the session as interactive as possible and encourage firms to talk about their experiences and ask questions. \nWe will cover: \nWhat do the rules say\, how do firms apply the rules and what risks should you look out for: \n\nCustody assets\nClient money\nMandates\nCASS Resolution Packs\nCASS governance and oversight – what does ‘good’ look like?\nCMAR preparation and submission\nCASS audit – appointing your auditor and what to expect\n\nThe session will make use of case studies and examples to bring the theory of the CASS rules to life. \nThis training will equip you with: \n\nA good understanding of the CASS rules\nThe ability to understand what the CASS rules mean for your business\nThe ability to identify CASS risks within your business\nThe ability to assess whether your CASS controls are robust and fit for purpose\nAn understanding of what a good CASS governance model looks like\n\nThe course will be useful for anyone with CASS operational responsibilities\, including those responsible for running day-to-day CASS processes and those with operational oversight responsibility. \nThe course will be delivered by: \nNicky Green\, Managing Consultant-Bovill \nNicky heads up the client assets compliance offering within Bovill\, Nicky has been instrumental in working on CASS S166 skilled person work\, health checks and assurance projects. She has helped companies new to the CASS world build the control processes they need to ensure compliance and has also helped firms to improve their controls as part of remediation projects. Nicky runs the Bovill CASS roundtable and regularly produces thought leadership on CASS matters. \n  \nEoghan Hartigan\, CASS expert–Bovill \nOne of the core CASS experts within Bovill\, Eoghan been involved all aspects of CASS work\, including CASS S166 projects\, setting up new CASS systems and controls for a variety of firms\, carrying out CASS reviews and healthchecks and RP testing. \n URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-understanding-cass-how-to-spot-cass-risks-to-your-business/ CATEGORIES:Learning,Live Learning,Training Courses END:VEVENT END:VCALENDAR