Client Assets Protection 2014

Topics

• Detailed industry analysis of CP13/5
• CASS policy changes and consultations – scope, Timetable and impact
• The challenges of Regulatory Scrutiny
• Existing CASS Rules
• FCA enforcement powers and how to handle the process
• Preparing for an FCA CASS visit
• The CASS Resolution Pack

Who should Attend

Attendees from:

• Risk
• Compliance
• Reconciliations
• Finance Operations
• Asset Management
• Administration Specialists
• Investment Banks
• Brokers
• Securities Firms
• Custodians
• Third Party Administrators
• Prime Brokers