Duration: 3 hours
Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR
Cost: £349 + VAT
Since the financial crash and, more specifically, the demise of Lehman Bros., the FCA has become focused on firms’ ability to demonstrate they have sufficient resources, expertise and procedures in place to avoid client money/custody disasters.
This relatively new function was introduced by the Regulator in 2011. The CF10a, role carries much responsibility for ensuring the relevant firm keeps up with changes in CASS requirements and is ready to react in the case of another custodian’s failure.
This course emphasises the requirements and responsibilities the CF10A role has to carry as a matter of routine to meet regulatory and client expectations in the event of another Lehman’s. The CF10A cannot do it all by him or herself…
Attendance on this course will enable you to:
Course aimed at: Senior Management, CF10a, Prospective CF10a’s and Compliance
Maximum numbers: 12
This course can also be delivered as an onsite course or as an instructor lead course at a firm’s office.