Client Assets Protection

A session at Client Assets Protection 2014

CASS Regulatory Updates and Insights
• FCA feedback from CASS supervision visits
• FCA insights into CASS policy decision-making
• CP13/5: Reviewing the key issues and next steps
Hot Topics in the Current CASS Rules
• Due diligence and trust letters
• Contractual issues
• Navigating the requirements of EMIR
CP13/5 “Review of the Client Assets Regime for Investment Business”
• CP13/5 impact analysis and industry feedback
• Managing CASS risk during periods of change
• Adapting operations, policies and processes
Industry Insights and Audit Expectations
• Best practice approaches to CASS infrastructure
• External audit perspectives on CASS compliance
• Issues emerging from 2013 year end
Also attend the associated workshops:
Meeting Regulatory and Business Expectations Concerning
Client Money M.I. and Reporting
Morning of 29 January 2014
Best Practice Approaches to
CASS Governance, Oversight and Control
Including Guidance on the Evolving Role and Responsibilities of CF10a
Afternoon of 29 January 2014

Register Early - Conference and Both Workshops: £1397 + VAT @ 20% = £1676.40
Register Early - Conference and One Workshop: £1148 + VAT @ 20% = £1377.60
Register Early - Conference Only: £799 + VAT @ 20% = £958.80
Register Early - One Workshop Only: £449 + VAT @ 20% = £538.80

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Date Tue 28th January 2014

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