Courses

Full Access to all CASS on-demand workshops and "How to" videos

About this Course

Workshop 1: Third-Party Oversight

 Paul McDermott covers this subject in 3 sessions:

  • Session 1| Delegation and responsibilities
  • Session 2| Managing 3rd party activities
  • Session 3| Best practice and testing

Workshop 2: Getting CASS right, leading from the top 

This workshop consists of 2 modules

Module 1 | Good Practice Governance

  • Session 1| Why is CASS important & challenging
  • Session 2| The SMCR regime & CASS culture
  • Session 3|CASS risk appetite & policies
  • Session 4| CASS control systems, framework & compliance monitoring

Module 2 | Practical CASS Challenges

  • Session 1| Building a CASS team
  • Session 2| Recordkeeping, reporting and procedure documentation
  • Session 3| Successfully managing CASS audits

5 CASS "How to" videos

Alex Harris covers 5 key areas:

  • Best practice for developing & Maintaining a CASS controls monitor
  • Developing a strong CASS Culture
  • How to Demonstrate & Deliver Compliant 3rd Party Due Diligence
  • The Common CASS RP Pitfalls & How to Avoid Them
  • How to Mitigate the CASS Risks Associated with Outsourcing

 

 

 

 





Course Information

  • Location: Pre-recorded workshops
  • Led By: Paul McDermott
  • Type: Course

Course Instructor:
Paul McDermott

Paul McDermott has worked in financial services for over 20 years, holding the senior positions of compliance director, head of compliance, regulatory oversight and MLRO for several firms including Deutsche Bank, Dresdner Kleinwort Wasserstein AXA Framlington, Liverpool Victoria and Brewin Dolphin. As a consultant, he liaises with the FCA and the FOS in supporting companies facing regulatory sanctions, gaining authorisation, creating or reorganising of governance structures and the management of complaints.

He has recently taken on the Compliance, Money Laundering and CASS oversight Senior Management Functions for a Portfolio Management firm and a Fintech firm.

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General Enquiry

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Get in touch

Kieran_Maplesden

Kieran Maplesden
Managing Director


0203 800 1099
kieran.maplesden@thefourthline.co.uk