PodCASS - The Unofficial Guide to the FCA Client Asset (CASS) Sourcebook

A Atkinson
  • 5.0 (4)
  • MANAGEMENT
  • UPDATED WEEKLY

Stay ahead in the world of financial compliance with PodCASS, the unofficial guide to the FCA Client Asset Sourcebook. Since the collapse of Lehman Brothers in 2008 the importance of compliance with ‘CASS’ has never been greater. Discover why the ongoing focus on client assets matters, and what every regulated firm needs to know. Join us on PodCASS, your essential resource for navigating the complexities of the Client Asset Sourcebook. Tune in now, and make compliance your competitive edge.

Episodes

  1. PodCASS - Episode 3 - CASS 8 Mandates

    14/09/2024

    PodCASS - Episode 3 - CASS 8 Mandates

    Mandates, once considered the underdogs in the regulatory framework, have gained significant attention from both auditors and the FCA. Mandates allow firms to control clients' money or assets held with another firm, without requiring ongoing client involvement. This mechanism is particularly common in investment advisory firms, where advice is given on investments custodied with third-party platforms. However, the influence of mandates stretches across a wide array of firms within the investment sphere. Today, we’ll examine why mandates are no longer the second-class citizens of the CASS world and delve into how correctly managing them can unlock new efficiencies and potential benefits for your business. So, let's explore the significant impact mandates can have and why understanding them is crucial for ensuring compliance and optimizing firm operations.

    14 min
  2. PodCASS - Episode 2 - CASS 7 Client Money

    07/09/2024

    PodCASS - Episode 2 - CASS 7 Client Money

    Welcome to episode 2 of PodCASS, the unofficial guide to the FCA Client Asset Sourcebook, or CASS. I'm your host, Adam, and I'm here to help you navigate the complexities of CASS regulations. Whether you're a compliance officer, an auditor, or just someone interested in the field, this podcast aims to provide you with valuable insights and practical advice to ensure you stay compliant. In today's episode, we're diving into the intricacies of CASS 7, one of the most challenging chapters of the FCA Handbook. We'll firstly explore the recent developments in CASS audits, discuss who needs to follow these rules, and break down the reconciliation processes. Plus, we'll address common challenges in maintaining compliance and provide best practices for responding to and avoiding breaches. Stay tuned as we unpack these topics, helping you better understand and manage your obligations under the CASS rules.

    10 min
  3. PodCASS - Episode 1 - A General Overview

    01/09/2024

    PodCASS - Episode 1 - A General Overview

    Welcome to Podcass, the unofficial guide to the FCA's client asset sourcebook. I'm your host, Adam. I'm the Head of CASS Oversight for a London based wealth manager and have been involved in all things CASS for over 12 years. Today, we'll dive deep into the world of CASS compliance, exploring the latest updates and key focus areas that every regulated firm needs to be aware of. This episode is a general introduction into CASS, with the remainder of the series focussing on key chapters, whilst also bringing relevant updates and the latest news and opinion. Since the collapse of Lehman Brothers in 2008 the importance of safeguarding client assets has never been more critical. We'll cover the foundational principles of the CASS rules, the FCA's scrutiny over the past decade, and how firms can navigate the complexities of compliance. Stay tuned for an engaging and insightful episode!

    10 min
  4. PodCASS - The Unofficial Guide to the FCA Client Asset Sourcebook (CASS) - Intro

    SEASON 1 TRAILER

    PodCASS - The Unofficial Guide to the FCA Client Asset Sourcebook (CASS) - Intro

    Stay ahead in the world of financial compliance with PodCASS, the unofficial guide to the FCA Client Asset Sourcebook. Since the collapse of Lehman Brothers in 2008 the importance of compliance with ‘CASS’ has never been greater. Discover why the ongoing focus on client assets matters, and what every regulated firm needs to know. Join us on PodCASS, your essential resource for navigating the complexities of the Client Asset Sourcebook. Tune in now, and make compliance your competitive edge.

    29 sec

Trailer

Ratings & Reviews

5
out of 5
4 Ratings

About

Stay ahead in the world of financial compliance with PodCASS, the unofficial guide to the FCA Client Asset Sourcebook. Since the collapse of Lehman Brothers in 2008 the importance of compliance with ‘CASS’ has never been greater. Discover why the ongoing focus on client assets matters, and what every regulated firm needs to know. Join us on PodCASS, your essential resource for navigating the complexities of the Client Asset Sourcebook. Tune in now, and make compliance your competitive edge.

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