CASS Senior Managers and Directors Survival 2023 | Goodacre UK | 11 December 2023 | Webinar

This half day course gives senior executives an overview of the FCA Client Money/Assets regime, and how it impacts specifically on their roles. An important issue and one which must not be ignored by directors and managers at regulated firms.

The following topics will be covered:

• Regime overview
• FCA’s expectations of senior management
• Evidencing the oversight
• FCA Enforcement cases
• Other key aspects of the rules
• Key documentary requirements, including Client Assets Policy

Who should attend?
Members of senior management, board members, controlled function holders (including current and prospective Compliance Oversight personnel) and any other person likely to be interviewed by FCA on the subject of client money.