Course Overview

The intensive and intrusive regulation allows the regulator to enforce hefty fines on the industry for the lack of appropriate management and oversight. The CASS Resolution Pack implementation brought a new interpretation to FCA spot checks. Firms can have the regulators in their businesses within 48 hours of receiving a call from the FCA informing them of a visit.

This seminar will provide delegates with an overview of the regulatory requirements; assess what these requirements practically mean for firms; and discuss how firms might prepare themselves for such a visit.

Learning Objectives

This course will cover the following:

• An understanding of the importance CASS Resolution pack to the FCA’s approach to assessing culture and conduct;
• Examine the regulatory requirements under CASS 10;
• Discuss the complexities in relation to the obligations; and
• Identify risks and how firms can provide assurance via their control and assurance framework.

Who is Vivienne Bannigan

Vivienne is a financial services professional with over 20-year experience in regulatory and operational risk in the United Kingdom, Europe and internationally. Vivienne has held various roles across several organisations including the Financial Conduct Authority (FCA), Royal Bank of Scotland and UK Finance. Vivienne has worked in wholesale policy covering the Market Abuse Regime, Markets in Financial Instruments Directive (I & II), Securities lending, Client Money , Transaction Reporting and mentoring her colleagues along the way. Vivienne designed and implemented training and communications to support programme delivery, including the Markets in Financial Instruments Directive and Client Money and Assets. Vivienne holds various qualifications including an M. Econ. Sc. in European Economics and Public Affairs. Vivienne is an accredited Dispute Resolution Mediator and is completing an MA in Community Psychology at the University of Brighton. Vivienne is passionate about sailing and supporting individuals to achieve their potential while at the same time, creating an environment that is professional, practical and participative.