Booking options
£250
+ VAT£250
+ VATOn-Demand course
5 weeks
All levels
Recent high profile fraud cases and continued regulatory scrutiny have highlighted the importance of understanding the key principles of safeguarding client money and assets. The rules are complex and you need the right skills to apply them effectively.
This course covers this technical area in an accessible, easily understandable way., focusing on the principles, practical examples, and taking a closer look at the Financial Conduct Authority (FCA) CASS rules to help bring the concepts to life.
By the end of the course, you will be able to:
Understand the key principles in managing client monies and assets effectively
Discover why insolvency drives the need to protect customers
Learn why company and customer monies should be separated, as well as how and what to separate
Explain the basics for good organisational arrangements and understand the fundamentals of banking and custodian relationships
Describe the basics of registration and recording of legal titles and the importance of segregation and the role of diversification
Know the steps to take when reconciling accounts and understand how to protect monies and assets during transactions.
The International Compliance Association (ICA) is th...