Enhance Your CASS Expertise
Description
A Half-Day Course for Senior Financial Services Professionals
The Client Assets Sourcebook (CASS) is a cornerstone of the FCA’s regulatory framework, designed to protect consumers and promote transparency across financial operations. For senior professionals, CASS is more than a compliance requirement; it reflects a firm’s governance, culture, and risk management approach.
This course provides a strategic overview of CASS, with a focus on leadership accountability, regulatory expectations, and the broader implications of enforcement action. It is especially valuable for those holding the SM&CR Prescribed Responsibility for CASS (z), as well as board members and senior managers with oversight responsibilities.
Delivery Format:
This course is offered in a hybrid format. In-person spaces are limited and allocated on a first-come, first-served basis.
Booking Note:
If you register for both the morning and afternoon CASS sessions, you’ll benefit from the full-day course rate.
Need Help?
If you see the “Join waiting list” button and wish to attend, pleasecontact training@theia.org for assistance.
WHY ATTEND
This workshop offers practical insight and strategic clarity for professionals working across the CASS landscape.
Whether you're hands-on with operational processes, shaping oversight and governance, or driving regulatory change, the session equips you to lead with confidence and deliver meaningful impact.
Participants will gain:
- A clear understanding of CASS and its regulatory significance
- Practical strategies for embedding a strong CASS culture across teams
- Key insights into audit expectations and FCA enforcement trends
- Clarity on SMF and Board responsibilities and governance requirements
- A sharper view of CASS as a framework for customer protection
AGENDA
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Introduction
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Overview of the key learning objectives
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Insight into the importance of CASS for the FCA’s regulatory approach
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Understanding CASS in its barometer regulation capacity
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CASS in regulatory context and its ‘top down’ presence
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CASS impact cross-regulation
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Insight into the importance of CASS for Investor protection
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Overview of the Client Assets Sourcebook (CASS)
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Understanding the ownership implications and application of the SM&CR CASS Senior
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Management Prescribed Responsibility (z)
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Regulator CASS Tracking via firm classification, monthly CMAR, annual audit and other
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tools
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CASS annual audit nuances
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CASS failings’ risks and regulator enforcement action and impact, including s166 Skilled
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Person review
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Board CASS transparency and focus; mandatory and optimal considerations
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Cultivating and maintaining a strong CASS culture
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CASS governance framework considerations
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Message summary and conversation under Chatham House Rule
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Close
SPEAKERS
Sarah Peaston
Regulatory Governance Expert | INED & NED | Industry Contributor
Sarah is a respected voice in financial services, known for her strategic clarity, industry influence and ability to lead complex regulatory change.
Career highlights include:
- Over 25 years in investment banking and financial services, with senior roles at Goldman Sachs, Citi, Barclays and Société Générale
- Founder of Regulatory Governance Consulting Limited, advising firms on regulatory strategy, governance frameworks and control environments
- 15+ years leading programmes across client money and assets, multi-jurisdictional regulatory reporting, and quality assurance
- Independent Non-Executive Director and experienced Independent Chair (SMF9), serving on fund governance boards and chairing of value assessment committee
Industry impact:
- Contributor to association working groups and regulatory forums
- Partnering with peers and authorities to shape and influence policy
- Speaker and moderator at industry events
Recognition:
- Compliance Register Platinum Special Award for Transaction Reporting
- 2025 Investment Week Women in Investment Awards Nominee
- Appointed INED across multiple fund structures
WHO SHOULD ATTEND
This interactive session is ideal for professionals involved in CASS oversight, delivery and governance, including:
- Senior CASS process owners and change managers responsible for embedding compliant practices across teams
- Project and programme managers leading CASS-related initiatives and transformation programmes
- Compliance, oversight and quality assurance professionals focused on strengthening control environments
- Senior Managers (SMFs) holding SM&CR Prescribed Responsibility (z) and accountable for CASS compliance
- Board members including Executive, Non-Executive and Independent Non-Executive Directors seeking greater clarity on governance and regulatory expectations
PRICING
IA Member £395.00 +VAT
Non-Member £545.00 +VAT
Pay using a credit card online, or if you wish to be invoiced please email your full details to: Training@theia.org
PLEASE NOTE: Full payment for the course must be made prior to the course commencement date.
- Any cancellation must be made in writing.
- For all cancellation received 15-30 days prior to the course start date, 50% of the course fee is still payable.
- No refund is given for a cancellation made 14 days or less prior to the commencement of a course.
- Transferring from one course to another is treated as a cancellation. You can substitute one delegate for another at no additional cost. In this instance, please give two business days’ notice
Hybrid Training Courses:
Hybrid deliveries of our training allows participants on our courses the option to attend in-person here from our offices at Camomile Court, or you can attend virtually via MS Teams.
Please be advised a training course could change from hybrid delivery to solely virtual delivery. In such an event, we will inform delegates at least one week prior to the course delivery date.
There are a limited number of in-person spaces available on this course and this will be allocated on a first come first served basis.
If you register for both the morning CASS and afternoon CASS courses, you will only be charged the full day course fee:
IA Member £645.00 + VAT
Non-Member £795.00 + VAT
Contact training@theia.org for assistance with registration.