The 2008 financial crisis saw a number of banks fail, notably Northern Rock and Lehman Brothers. Their experiences demonstrated the importance of protecting client assets for the benefit of both individual customers, and society more broadly. The financial regulator has strict rules to ensure that Client Assets are fully protected, irrespective of the macroeconomic environment. These stem from its Principle 10: “A firm must arrange adequate protection for clients’ assets when it is responsible for them”.

This course has been designed to help people understand how client assets should be protected through case studies and real-life examples. Learners will be assessed on their knowledge and understanding through a test at the end of the course.

Adjustments can be made to suit the needs of your company – please contact us for more information.

Course overview

This course is split into four parts:

Part 1 – Introduces the concept of client assets, explores the history, and helps learners to appreciate why client assets are still a priority for the FCA.

Part 2 – Explains the relevant regulations in CASS 1, CASS 6, CASS 7, CASS 8, CASS 9 and CASS 10. Actions are presented to help firms to adhere to the requirements.

Part 3 – Demonstrates what happens if client assets regulations are not followed. Consequences may impact customers, firms, and society more broadly. Recent high-profile cases are provided as examples.

Part 4 – This section contains a multiple-choice knowledge test based on the course content.

Course duration:
This course should take around 90 minutes to complete. Learners can bookmark their progress before exiting the course and resume from that point.

Learning options

Every Marshall elearning course is fully accessible, so this course is also available as:

• spoken word audio – perfect for learning on the move
• a voice reader compatible version as a W3C AA online workbook
• a complimentary workbook – a printer friendly pdf download compatible with all devices and readers

Always up-to-date

If you buy this CASS Course you’ll get any updates we make, and always be up-to-date with current legislation.

Learning by design

It’s a highly interactive CASS Course with rich graphics and audio-visual content blending a variety of question-types to encourage your learners to apply concepts to their daily work routine. An (optional) end-of-course test assesses learners on the level of knowledge they’ve retained. Pass rates can be set as required.

Easy to implement & customise

This CASS Course comes with Marshall LMS (Learning Management System), which allows you to manage your elearning and track completed training.
Our in-house developers can quickly & effectively adapt this course to your sector and organisation. You could also add your own graphics, photos & video and amend content to include your policies, procedures, and key areas.

Learn more

For a free demonstration of this CASS Course Course or to find out more please contact us and we’ll be in touch very soon.