This pathway examines what CASS client money and assets regulations are, why they are important and how firms and individuals must comply with them.
This course is suitable for all audiences.
When you've completed all of the activities in this pathway, you should be able to:
- understand what CASS is and why the CASS regulations and sourcebook have been implemented
- identify a high-level overview of regulatory risks and responsibilities
- understand why a firm should have records and accounts that are maintained with sufficient accuracy and can be made available within 48 hours.
