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: Pre-recorded
- Led By: Paul McDermott
- Type:
Course
- Level: Leadership
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.
