CASS Compliance Refresher
Course description
BRAND NEW PROGRAMME. REGISTER NOW & SAVE £120!
Join this half-day session with senior Compliance expert to learn about the latest changes in the CASS compliance, the latest regulatory expectations and assess your firm’s compliance readiness.
This half-day refresher is for delegates who have completed our one-day CASS Managing Client Assets & Money Course and want to make sure their knowledge is still current, practical and ready for regulatory scrutiny.
The client assets regime has changed considerably in 2026, with targeted amendments to the custody and client money rules, new expectations linking CASS to the Consumer Duty, the arrival of the CASS 15 safeguarding regime for payments and e-money firms, and proposals to bring cryptoasset activities within scope. The session briefly revisits the core principles of identification, segregation, reconciliation, record keeping and reporting, then focuses on applying them to realistic scenarios and learning from recent FCA enforcement.
Delegates will also have the opportunity to assess their firm’s CASS governance, oversight and management information against current expectations, and leave with a practical, prioritised action plan to help keep their firm’s arrangements effective and compliant.
Timing: 9 a.m. until 1 p.m. with breaks.
What will you learn
The course revisits the key aspect of the FCA’s CASS regulation, considers recent changes in regulation and considers what can be learnt from recent FCA enforcement action.
By the end of this course, delegates will be able to:
- Recall and apply the core CASS requirements on identification, segregation, reconciliation, record keeping and reporting without reference material
- Explain the main regulatory changes to CASS in 2025–26 and their practical impact on their firm
- Identify the control failures behind recent FCA enforcement and test their own firm against them
- Evaluate their firm’s CASS governance, oversight and management information against current FCA expectations
- Produce a personal action plan with three to five priority improvements
You may be also interested in:
- CASS Managing Client Assets & Money Course
- Mastering Key Skills for Effective Compliance Professionals – NEW
- Mastering Key Skills for Effective MLROs – NEW
- Operational Resilience Preparedness – NEW
- AML, KYC & Anti-Terrorist Financing
- Risk Management & Banking Regulations – NEW
- SMCR – In-company only
Register for any 2 full day or 2 day public courses at the same time and save extra £100 (in total, not per course), or combine this half day session with any 1 day programme and save £75 + VAT.
Main topics covered during this training
- CASS fundamentals revisited
- Regulatory developments in 2026: the CASS 6 and CASS 7 amendments
- Introduction of CASS 15 safeguarding regime for payments and e-money firms
- Cryptoassets and the adaptation of CASS
- CASS accountability under the SM&CR
- Practical application: identification, segregation, acknowledgement letters, reconciliations, custody shortfalls, resolution packs and mandates
- Lessons from enforcement.
- Outsourcing and third-party oversight
- CASS governance, management information and breach management
- Audit, assurance and resolution readiness
Who should attend
This refresher is for professionals who have completed the one-day CASS course, or already have a working knowledge of CASS, and need to update their knowledge. It is ideal for:
- Senior managers and staff with CASS accountability or oversight responsibilities
- Compliance, risk and CASS specialists
- Client money, custody and reconciliation operations teams
- Finance and regulatory reporting staff
- Internal audit and assurance teams
- Safeguarding staff at payment and e-money firms
- Staff at firms carrying out cryptoasset activities
- Board members and non-executive directors
CASS Compliance Refresher
Course Outline
Timing: 9 a.m. until 1 p.m. with breaks.
Purpose of the course
This refresher has three aims. It consolidates the core principles from the original course, it updates delegates on changes to the CASS regime since they trained, and it tests how well they can apply the rules to realistic situations.
Course Introduction
Session Objective: Welcome participants and provide an overview of the day’s agenda.
What has changed – CASS 2026
Session Objective: Understand the key regulatory developments affecting CASS and assess their impact on the firm.
Areas covered in the session:
- Targeted changes to CASS 6 and CASS 7
- CASS 15: safeguarding for payments and e-money firms
- Cryptoassets and CASS
- Governance terminology update
Core principles re-tested
Session Objective: Apply the CASS rules confidently to common operational scenarios and breaches
Areas covered in the session:
Through scenarios presented delegates will revisit and discuss the following core principals:
- Scenario A – Identification
- Scenario B – Segregation
- Scenario C – Acknowledgement letters
- Scenario D – Reconciliation
- Scenario E – Custody
- Scenario F – Resolution pack
- Scenario G – Mandates
Break
Lessons from enforcement
Session Objective: Identify the control failures behind recent FCA enforcement and recognise similar risks in the firm.
Areas covered in the session.
- Review the key elements of the FCA enforcement notice
- Could the failings described happen in the delegates firm
- Concerns regarding CASS policies
- Business partner failings (Third party and appointed representative oversight)
- What should have been learnt from CASS audits
Governance and oversight health check
Session Objective: Assess how effective the firm’s CASS governance, controls and management information are against FCA expectations.
Areas covered in the session:
- Accountability
- Policies and procedures
- Management information
- Third-party oversight
- Consumer Duty interface
- Breach management
- Audit and assurance
- Resolution readiness
Action planning and close
Session Objective: Commit to practical, prioritised actions to strengthen the firm’s CASS compliance.
Areas covered in the session:
Each delegate completes a one-page action plan with three to five priority actions. Each action needs an owner, a deadline and a success measure. Suggested prompts:
- One action arising from the 2026 rule changes
- One action on segregation of duties or controls, drawn from the WealthTek lessons
- One action on MI or governance, taken from the lowest-scoring area of the health check
Trainer
The Trainer is a highly experienced regulatory consultant, a with 30 years of experience in the financial services. Previously a Compliance Director with one of the country’s largest Investment Management firm, before moving into consultancy and holding interim roles as Head of Compliance and MLRO as well as leading a number of projects that took firms such as Dresdner Kleinwort Wasserstein, Axa and Deustche Bank through authorisation and responding to the FCA sanctions.
His professional experience includes the development and implementation of compliance processes and procedures that include areas such as: governance and oversight, effective systems and controls, client on-boarding and market conduct projects. His area of expertise includes Financial Crime, Client Assets, Conduct Risk, Governance and Oversight, Senior Management Regime and Effective Compliance Monitoring.
He has worked closely with the FCA, Financial Ombudsman Service and the Finance and Lease Association on complaint handling and management and continues to work with Financial Service firms in negotiations with the FCA. He has recently taken on Head of Compliance, Money Laundering Reporting Officer and Head of Client Money Client Assets positions for a Portfolio Management firm and an emerging Peer to Peer platform.
FAQ
We offer banking and finance courses as well as soft skills and business management training. You can either attend an open public course in London or Dubai or arrange customised in-house training to be delivered in any of your offices worldwide.
Most of our public courses are run over 2 full days. Some programmes are offered as a 1 or 3 day training.
In-house training is tailored to client’s requirements and can be organised over 1 day, 2-3 weeks or longer.
Public courses are organised mainly in London and Dubai. Occasionally we organise courses in other centres like Paris or New York. Check our public course calendar for the current list of programmes. We use a range of training venues, all in the centre of the cities and with excellent transport links to the airports and train stations.
In London we use venues in the centre (near Oxford Circus station or in Mayfair) or in the City (near Liverpool Street or Moorgate stations).
In Dubai our courses are organised in one of 4-5* hotels in the Deira district. Once you register we will send you detailed information together with accommodation options if required.
Our in-house courses can be delivered anywhere in the world. We work with over 25 trainers worldwide. Contact us do discuss your requirements. Check our list of available programmes.
Our courses are run in central locations from 9 a.m until 5-5.30 p.m. There are 2 coffee breaks and a lunch break. Lunch is always provided in the venue.
Dress code is smart casual.
All our programmes are taught by senior specialists who have spent many years in their respective sectors, working as senior managers and head of departments, so they understand very well the market and the challenges you are facing.
The experience of our trainers allows us to create very practical programmes, focused on current market trends and challenges. You can be sure that you will gain the knowledge which can be instantly applied in your workplace after the course. You will be analysing real life case studies, take part in group exercises and discussions as well as role plays, whenever applicable.
We want our courses to be as practical and interactive as possible so we limit the number of participants in order to optimise your time with the trainer and allow you to ask questions which are important for you.
In order to understand your requirements and expectations, we will send you a pre-course questionnaire.
You will also receive post-course support so if you have any questions after you left the training, you are welcome to contact us.
There are 2 easy ways to register:
- Go to the course of your choice and click Register Now button to fill the registration page
- Email us to enquiry@eurekafinancial.com
After you register, we will send you registration confirmation and an invoice so you can arrange the payment. Please note that your place is not confirmed until we receive it.
If you register within Early Bird discount period, there’s limited time to arrange the payment in order to be eligible for the discount. You will find all the details on the invoice.
We don’t advise to make any travel and hotel arrangements until you receive full course confirmation from us.
We will send you venue and course details as soon as possible but most likely about 3-4 weeks prior to the course commencement.
You can pay by:
- Making a bank transfer
- Debit/credit card
- Cheque payable to Eureka Financial Ltd. - only within UK
Just mark preferred paying option on the registration form. Whichever form of payment you choose we will always send you an invoice.
If you pay by card, a 2.2% processing fee will be added. We will send you authorisation form so you can give us your card details.
Included in the price of a public course are:
- Course tutorial
- Take away course materials
- Course Certificate
- Lunch on the days of the training as well as drinks and snacks throughout the course
The price doesn’t include accommodation, flights, transfers and any additional costs outside of the training venue.
Yes, we always offer Early Bird discount, so the sooner you register the more savings you can make. We also offer group discounts and if you register for 2 or more programmes at the same time.
If you are a full time student or unemployed, we offer a 25% discount of the full price of the training. Student ID or unemployment status confirmation is required to claim this discount.
If you attend one of our courses you will be entitled to a special discount for a year after the last course you attend with us. Also, if you have attended and recommended us to a friend, both you and your friend will receive a special discount. You will receive more information about it after you attend the course.
See our Customer Loyalty Discounts page for more details.
All our courses based in the UK are subject to the VAT charge of 20%. This fee is irrespective of the country of residence of the delegates.
You can, however, claim the VAT back by contacting UK tax office - HMRC, and filling the relevant form, as long as you comply with the following rules:
For Delegates coming from the EU countries
If you represent a registered business in another EU country, you can use the Refund Scheme to reclaim VAT you pay in the UK as long as all of the following apply:
- You're not registered for VAT in the UK and don't have to, or can't be, registered here
- You don't have a place of business or a residence in the UK
- You don't make any supplies in the UK
You can find some more information here. In order to claim the VAT you have to fill Form 65.
For the Delegates from Non EU countries
If you represent a registered business in a non-EU country, you can use the Refund Scheme to reclaim VAT you pay in the UK as long as all of the following apply:
- You're not registered for VAT in the UK and don't have to, or can't be, registered here
- You don't have a place of business or a residence in the EU
- You can only use the Refund Scheme if your own country operates a similar scheme and makes it available to UK businesses. If your country has its own Refund Scheme but doesn't let UK businesses use it, you can't claim under the UK Refund Scheme.
- You don't make any supplies in the UK
If the following rules apply to you, please fill the 65A form and send it to HMRC.
Webinars
You can cancel your participation up to a month before the course and receive a refund minus 10% of the full course value. Between 2-4 weeks before the course you will be charged 50% cancellation fee and if you cancel less than 2 weeks before the course you can only offer your place to a colleague. Up to 2 weeks before the course you can reregister for another edition for 10% reregistration fee if there is another webinar offered or you can rebook for a course in London by paying the difference in price plus 10% reregistration fee.
Classroom Courses
If there is any official travel restriction or difficulty related to the COVID pandemic around the time of the course we will convert the training into a webinar or offer to attend the next classroom edition at no extra cost.
If you are unable to attend the course, you can either send a replacement at no extra charge or, up to 10 days before the training, you can transfer your booking to another edition within the next 6 months paying administrative fee of 20% of the full course price. For any cancellation requests received between 11 days and 4 weeks from the course we offer 50% refund or reregistration to another edition for 25% of the value of the booking. For any cancellation requests received more than 4 weeks before the course date we will offer a refund less an administration fee of 10% of the full course price.
Cancellations must be made in writing (letter or email) and reach our office four weeks prior to the course date. We regret that only limited refunds can be given after this period as per points above. Non-attendance without any notification will be charged at full rate. Your place on a course is not guaranteed until we receive the payment. All payments must be made in full before the course date.
All our trainers have been working for many years in their respective sectors before they begun to teach so they bring a wealth of practical experience to the classroom.
Most of them used to work for 15 or more years in the financial sector and corporate world, and were holding positions of Directors, VP and Senior Managers. Some of them have published books and have written articles for specialised magazines and newspapers including FT, The Independent, The Times etc. You can find detailed biography of each trainer on the page of the course you want to register for.
Yes, you will receive a Certificate of Attendance at the end of the course you attend.
If you have to apply for a Visa to attend a course in the UK, we will issue a letter to support your application. The letter will be issued only after the payment for the course has been made.
It is delegate’s responsibility to obtain a Visa and failure to do so will not make the participant exempt from the cancellation policy.
Anyone suspected of applying for a training course simply to gain a Visa letter will be reported to their embassy.
We will need the following information to issue an invitation letter:
- Full name as it appears on your passport
- Date of birth
- Passport number
- Passport issue date
- Passport expiry date
27 Nov 2026, Online / Virtual
Register by 20 Oct to save £120
Early bird price £475 + VAT
Regular price £595 + VAT
10% discount for 3 delegates.
This topic can be arranged on in-house basis. If you have a group of 4 or more we can customise it and deliver in any location worldwide. Contact us to discuss your requirements
