Course description
Embedding a Strong CASS Culture & Governance
A common theme across firms which have been fined for CASS failings is weak CASS culture & governance. This theme continues to be at the forefront of the FCA’s agenda and a constant in the FCA’s priorities.This session provides you with the knowledge and tools to create a strong CASS culture & governance in your firm and how to embed this into your firm’s blueprint. We will look at what CASS culture and robust governance looks like from having the right documentation, policies, procedures and controls in place to determining CASS breaches and their root causes to interacting with the FCA and having the right framework in place to appropriately oversee those functions outsourced to third party provides.
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Suitability - Who should attend?
Who should attend:
- CF10as
- Head of CASS Oversight/Assurance
- CASS Oversight/Assurance team
- CASS Committee member
- Compliance
- Operational Risk
- Internal Audit
- Operations
Choose this course when:
- Looking to take your firm’s CASS culture & governance to the next level in line with more demanding audits.
- Improving documentation, procedures and policies
- Introducing new capabilities, methods and techniques
- Enhancing CASS breach response abilities
- Developing learnt responses to critical situations
- Wanting to improve knowledge & awareness around CASS culture
- Developing desired behaviours within culture
Outcome / Qualification etc.
Learning outcomes:
- Understand what good CASS culture & governance looks like.
- Understand how a strong CASS culture & governance is paramount to ensuring CASS compliance.
- Understand what tools to use to improve the CASS maturity of your firm to enable better audit outcomes.
- Understand how embedding good CASS culture & governance contributes to an effective risk management framework.
- Learn how to implement CASS culture by design
Training Course Content
Agenda:
- Tone from the top
- Effectiveness of senior management
- CASS Committee and member responsibilities
- Three lines of defence
- CASS policies & procedures
- RACI matrix and attestations
- Third party oversight
- External CASS audit
- Case study