A Comprehensive and Practical Introduction to the Client Asset and Client Money FSA Rules

Key Benefits of Attendance:

This brand new two day training course provides a clear and distilled explanation of the scope and purpose of the FSA’s Client Money and Client Assets rules. By examining the key areas of the FSA rules in turn participants will also learn how to apply the client money and client assets rules in practice.

Following attendance, delegates will be able to:

• Understand and communicate the new FSA CASS rules
• Identify client money regulatory hotspots
• Benchmark their approach to lessons learned from FSA fines
• Appreciate the role of the CF10a for CASS operational oversight
• Compile a compliance checklist for CF10a sign off
• Successfully discharge governance responsibilities of the CF10a
• Effectively prepare the monthly Client Money and Assets Return (CMAR)
• Understand the fundamental client money audit requirements
• Successfully manage client bank account issues
• Construct an effective section 166 report
• Carry out accurate and timely bank and client money reconciliations
• Identify and manage the record keeping and audit requirements
• Understand the safe custody requirements
• Absorb the requirements around mandates and safe custody

For more information download the latest FSA Client Money and Client Assets Requirements course agenda today.