About this Course

With 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 purpose-built 2-day course 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 looks like and their role in achieving 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

Agenda:

Day 1 - Good practice governance

• Why CASS is important
• Why CASS is challenging
• The new SMCR regime
• CASS governance components
• CASS policies
• CASS risk management

Day 2 - Specific practical challenges

• Building the CASS team
• CASS rule interpretation
• Managing CASS audits
• Implementing effective reconciliation processes
• Issue and breach management
• Procedures documentation

Who should attend:

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