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.
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-Person Only. Spaces are limited and allocated on a first-come, first-served basis.
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
- Introduction
- Overview of the key learning objectives
- Insight into the importance of CASS for the FCA’s regulatory approach
- Understanding CASS in its barometer regulation capacity
- CASS in regulatory context and its ‘top down’ presence
- CASS impact cross-regulation
- Insight into the importance of CASS for Investor protection
- Overview of the Client Assets Sourcebook (CASS)
- Understanding the ownership implications and application of the SM&CR CASS Senior
- Management Prescribed Responsibility (z)
- Regulator CASS Tracking via firm classification, monthly CMAR, annual audit and other
- tools
- CASS annual audit nuances
- CASS failings’ risks and regulator enforcement action and impact, including s166 Skilled
- Person review
- Board CASS transparency and focus; mandatory and optimal considerations
- Cultivating and maintaining a strong CASS culture
- CASS governance framework considerations
- Message summary and conversation under Chatham House Rule
- 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