Client Assets and Client Money Essentials
Refreshed October 2025 | CPD time: 1 Hour
This module is aimed at the mainstream securities and investment industry and provides an overview of the principles and high-level rules associated with holding and protecting client assets.
1. Introduction
2. The Rules Relating to Protecting Client Assets
3. The Protection of Client Money and Assets
4. Pooling, Collateral and Stock Lending
5. Due Diligence of Custodians and Banks
6. Reconciliations
7. Records and Accounts
8. CASS Oversight
9. Client Assets and Client Money Around the World
10. Conclusion
Module Test