Client Assets

This course looks at client assets, which is an umbrella term that includes money, securities and other property that belongs to clients, but is looked after by the firm.

The term "custody asset" means an investment held for or on behalf of a client. Both of these assets are protected by the client assets rules of the Financial Conduct Authority (FCA).

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Learning objectives

This course will explain:

– What client assets are

– The legal and regulatory landscape

– Our controls to ensure that client assets are properly protected

– Our client assets’ governance arrangements

  • User icon

    Audience

    Suitable for all

  • Stopwatch icon

    Course duration

    Up to 30 mins

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    Assessment

    End test included as standard

Format

SCORM 1.2
SCORM 2004 (3rd/4th edition)
HTML5

Hosting environment

SCORM 1.2/2004 (3rd/4th edition) compliant LMS platforms including:
● Moodle
● Cornerstone
● SumTotal
● Saba
● NetDimensions

Supported browsers

Internet Explorer 11
Edge
Chrome
Firefox
Safari
(Pop up blockers disabled and JavaScript must be enabled)

Learner environment

Responsive content may be viewed on:
● Desktop
● Laptop
● Tablet device
● Smartphone
Recommended connection speed 512 KBPS

Please request a trial if you would like to review the course. Your business development manager will be in touch to discuss next steps.

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