Client Assets

This course covers:
An introduction to the FCA Client Asset rules (CASS)
A discussion of the need for identification, segregation, due diligence and the requirements for calculations and reconciliations
Information on the detailed CASS requirements in relation to Client Money (and key exceptions such as Title Transfer); Custody; Collateral; Mandates; the role of the CF10a and CMAR reporting

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Learning objectives

By the end of the course the learner will

  • understand the purpose of CASS
  • appreciate the commercial importance of safeguarding client assets
  • know the key provisions of the Client Money rules (CASS 7)
  • know the key provisions of the Custody rules (CASS 6)
  • know the requirements in relation to regulatory reporting on CASS issues
  • User icon


    Suitable for all

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    Course duration

    Up to 30 mins

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    End test included as standard


SCORM 2004 (3rd/4th edition)

Hosting environment

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

Supported browsers

Internet Explorer 11

Learner environment

Tablet devices
Pop up blockers disabled
Minimum screen resolution 1024 x 768
Recommended connection speed 512 KBPS
JavaScript must be enabled

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

Request a trial

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