This module will examine the regulatory requirements set out in Chapter 9 (Information to clients) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS).
Your learners will understand CASS 9 and the firms that the sections apply to. They will be aware of the reports and statements that firms providing prime brokerage services must supply to clients. They will be able to explain what prime brokerage is and the chapters of CASS that prime brokerage firms must comply with and know what a prime brokerage disclosure is, when one is needed and what it includes.
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