Client Assets

Getting CASS right | Leading from the Top


Course Information

  • Date(s): March 18, 2020,
    May 19, 2020
  • Location: London
  • Led By: Kevin Huby
  • Type: Course
  • Length: 2 Days
  • Level: Leadership

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


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

Specific learning requirement?

Request a course

About the 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.

In-House Courses

Our courses can be delivered in-house and made bespoke to your company, business model, products and language. As your learning partner, we can help you every step of the way from engaging with multiple stakeholders and carrying out a learning needs analysis to confirming desired outcomes, solution design and delivery.

Learn more

Request More Information

If you’d like to receive more information about this course or discuss how it could be delivered in-house and made bespoke to your organisation's requirements, fill in your details below.

Get in touch


Kieran Maplesden
Managing Director

0203 800 1099

Fahim Miah

Fahim Miah
Head of Learning Solutions

0203 854 0591