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Getting CASS right | Leading from the Top

2 DAY COURSE

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




Course Information

  • Location: London, Edinburgh, Manchester, Birmingham
  • Led By: Kevin Huby
  • Type: Course
  • Length: 2 Days
  • Level: Leadership

Course Instructor:
Kevin Huby

Kevin, founder of Prin10, is a Chartered Accountant and experienced business advisor, who has previously held senior consulting positions at KPMG, Ernst & Young and Kinetic Partners as well as executive management positions in industry.

Kevin has over 17 years experience of leading major Client Assets advisory and assurance projects at leading banks, asset managers, investment platforms, insurers and third party administrators. He is respected for his clear thinking, pragmatic approach and considerable operational insight.

Specific learning requirement?

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General Enquiry

If you would like this course to be delivered in-house and made bespoke to your organisation’s requirements, fill in your details below.

Get in touch

Kieran_Maplesden

Kieran Maplesden
Managing Director


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

fahim

Fahim Miah
Head of Learning Solutions


0203 854 0591
fahim.miah@thefourthline.co.uk