CASS 1 and 1a – CASS Application and CASS Firm Classification

CASS 1 and 1a – CASS Application and CASS Firm Classification elearning module

In this module, we examine the regulatory requirements set out in Chapters 1 (Application and Purpose) and 1A (Firm Classification and Operational Oversight) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS).Your learners will have a clear understanding of the scope and purpose of CASS 1.They will also look at the requirement for firms to determine its CASS firm type each year and to allocate a suitable representative to oversee operational compliance with CASS rules.

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