Getting CASS right | Leading from the Top - Pre-recorded workshop

With a continued focus from the FCA and the ever-expanding scope of the Senior Managers and Certification Regime (SMCR), the importance of CASS Culture and Governance is all too prevalent.

This pre-recorded workshop aims not only to highlight to Senior Executives and Managers the importance of embedding a CASS Culture through leadership from the top, but aims to provide such professionals with a step-by-step guide to facilitating same within the context of their respective organisation’s operational and business models. Incorporating real-life case studies, scenario-based challenges and break-out sessions, this course is designed to provide participants with a clear view of what exactly CASS Culture and Best Practice look like and their role in achieving the same.

Learning outcomes:

To provide participants with a clear understanding of:

• The CASS rules and where they fit within your organisation
• CASS roles and responsibilities – direct and indirect
• CASS at the Board level
• Lines of Defence and Separation of Functions
• Personal Accountability and Liability
• CASS Culture – Best Practice
• CASS Governance – Best Practice
• Key CASS Challenges
• The impact of the Senior Managers and Certification Regime
• Importance of Board engagement re: CASS
• CASS Resourcing
• Improve your ability to Interpret CASS rules and identify breaches

Who should watch:

• Board members
• CF10a/CASS Operational Oversight Officer/Operations Managers
• Senior Compliance Managers