Client Assets Protection 2014

CASS Regulatory Updates and Insights

• FCA feedback from CASS supervision visits

• FCA insights into CASS policy decision-making

• CP13/5: Reviewing the key issues and next steps

Hot Topics in the Current CASS Rules

• Due diligence and trust letters

• Contractual issues

• Navigating the requirements of EMIR

CP13/5 “Review of the Client Assets Regime for Investment Business”

• CP13/5 impact analysis and industry feedback

• Managing CASS risk during periods of change

• Adapting operations, policies and processes

Industry Insights and Audit Expectations

• Best practice approaches to CASS infrastructure

• External audit perspectives on CASS compliance

• Issues emerging from 2013 year end

Also attend the associated workshops:

Meeting Regulatory and Business Expectations Concerning

Client Money M.I. and Reporting

Morning of 29 January 2014

Best Practice Approaches to

CASS Governance, Oversight and Control

Including Guidance on the Evolving Role and Responsibilities of CF10a

Afternoon of 29 January 2014

Time: 9:00 am - 5:00 pm

Price:

Register Early - Conference and Both Workshops: £1397 + VAT @ 20% = £1676.40

Register Early - Conference and One Workshop: £1148 + VAT @ 20% = £1377.60

Register Early - Conference Only: £799 + VAT @ 20% = £958.80

Register Early - One Workshop Only: £449 + VAT @ 20% = £538.80