CMS | FS Breakfast Seminar: Client Money and Assets for Beginners | London 21 June 2018 - Edinburgh 26 June 2018


Protecting client money and assets is a high priority area for the FCA, particularly given the potential impact on consumers. This 90 minute breakfast seminar will cover the basics of the FCA’s CASS rules for investment businesses, taking a high level look at:

  • the policy behind the rules and the legal and regulatory background;
  • some of the key rules in CASS 6, 7 and 8 and the relevant FCA principles;
  • operational/practical aspects and where firms typically go wrong; and
  • the FCA supervisory and enforcement activity in this area and how firms should respond to this.

This seminar is particularly relevant for those inpiduals working in legal, compliance, risk and finance teams at financial institutions that operate under CASS 6 and/or 7, whether as an introduction to CASS or as a refresher on some basic topics. If this seminar is relevant to others in your organisation, please feel free to forward this invitation to them.

Speakers will include Ash Saluja, Tom Callaby and Alison McHaffie from the CMS FS regulatory team, as well as guest speakers, Karen Bond (London seminar) and Mark Lester (Edinburgh seminar) from Walbrook Partners.

CMS London holds regular financial services breakfast seminars, in the City of London and in Edinburgh, covering regulatory topics of interest to financial institutions.Introduce some text.

Please note there is no charge for attending this seminar.

Register your interest here