Course description
Embedding CASS Culture through Robust Governance
Focussed across the lines of defence, this workshop aims to provide a practical and in-depth knowledge base around 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.
- Understand the definition of CASS culture
- Identification of actual cultural dynamics impacting CASS
- Gain an overview of culture risk assessment
- Learn how to implement CASS culture by design
Multi-Booking and Client Rates available.
This course can also be delivered in-house. Get in touch for more information.
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Suitability - Who should attend?
- CF10a’s
- Operations (CASS Team)
- Compliance
- Internal Audit
Training Course Content
Roles & Responsibilities
- Lines of Defence
- Role of the CF10a
- SMCR
- Responsible CASS Individuals
Oversight
- Review and sign-off internal policies and procedures, ensuring the correct and up-to-date documentation is in place
- Breach /Near Miss Management /Review / determination / Escalation /Root cause analysis
- Immediately Reportable Breaches: Interacting with the FCA
- CASS Governance / Oversight Committee
- Annual Attestations to Board
- External Annual CASS Audit
- 3rd Party Oversight
- Outsourcing
- Offshoring
- Custodians
- Transfer agents
- Platforms
- Due diligence
- Aviva
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