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This module has been designed as a guide to this sourcebook. We explore key regulatory requirements and demonstrate how to satisfy the FCA’s expectations […]

In this module, we examine the regulatory requirements set out in Chapters 1 (Application and Purpose) and 1A (Firm Classification and Operational Oversight) of […]

This module examines the regulatory requirements set out in Chapter 3 (Collateral) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS). Learning Outcomes […]

This module introduces CASS 5, which contains the FCA’s client money rules for insurance intermediaries. We provide an overview of what the rules are […]

This module examines CASS 6 in detail and demonstrates how to comply with the regulatory requirements therein. CASS 6 sets out the rules that […]

Chapter 7 of the FCA’s Client Assets Sourcebook sets out the rules that apply to a firm when it holds or receives client money. […]

In this module, we will examine the regulatory requirements set out in Chapter 8 (Mandates) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook […]

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 […]

his module examines the regulatory responsibilities placed on firms in relation to chapter 10 (CASS Resolution Pack) of the Financial Conduct Authority’s Client Assets […]

Chapter 11 covers FCA sourcebook in relation to the regulatory responsibilities of firms which apply to debt management firms that receive or hold client […]