Loading Events

All Events

  • This event has passed.

Monthly Compliance Forum: CASS Update

May 16 @ 8:00 am - 9:00 am

Thursday 16th May 2024 | 08:00 AM – 09:00 AM | Webinar

 

The Compliance Forum is for all Heads of compliance, Chief Compliance Officers, and compliance staff, to build a network community and share insight, opinion, and experience. We bring in consultants to contribute to the discussion and share expertise.

 

CASS was established with the primary objective of providing better protection of client assets in the event of a firm’s collapse.  In this quarterly update, Raj Rajani (CASS specialist, Leaman Crellin) and Dina Devalia (IP specialising in FS regulated firms, Quantuma) discuss CASS from a distressed/formal insolvency scenario.  In particular, they discuss:

  • indicators leading to insolvency and/or distress
  • delivering on the objectives of CASS and the practical implications of non-compliance during an insolvency event
  • directors and senior managers duties
  • the practical challenges faced in dealing with a CASS insolvency

 

Raj and Dina delve into the nuances of CASS addressing practical questions that often elude the confines of the rulebook. There will also be an opportunity for attendees to ask questions of a practical nature.

 

To register to attend, complete the form below or email events@thebrokerclub.org.

 

Registrations are now closed for this event - contact events@thebrokerclub.org for more information

 

Details

Date:
May 16
Time:
8:00 am - 9:00 am
Event Category:
Event Tags:
, , , , , ,

Organisers

The Broker Club
Leaman Crellin
Quantuma

Venue

Webinar

Register Today

The broker club is an exclusive club for brokers active within financial markets. The club is particularly relevant for senior management, front and back office, risk/compliance and IT.

Click here to register