Comprehensive Overview

Gain a comprehensive understanding of the FCA's relevant funds regime

Key Requirements

Learn about the requirements in CASS 15, CASS 10A and SUP16.14A which are coming into force 7 May 2026

Practical Application

Explore what it means in practice and translate them into a tangible action plan for your firm

About the course

This is the industry's first CPD certified FCA safeguarding course. We are a proud member of the CPD which are committed to upholding the highest standards of learning and professional growth. CPD-accredited training ensures that our content are rigorously designed to support the needs of professionals across the industry. Join our course to master the FCA's Relevant Funds Regime for Payment and E-Money Institutions. Gain insights into each chapter of the CASS 15 and CASS10A rulebook, including the SUP 16.14A monthly safeguarding return. Be prepared for the new rules effective from 7 May 2026. Consolidate your knowledge and take the step towards enhanced consumer protection, FCA compliance and CASS audit readiness.

Meet Your Instructor

I'm Dennis Cheng, founder of Gladius Assurance - a specialist consultancy dedicated to helping clients navigate CASS and Safeguarding requirements. My approach is shaped by over 18 years of experience as a former Big Four Audit and Advisory Partner, focused on Client Assets and Safeguarding. I am delighted to guide you through the intricate world of CASS and the Relevant Funds Regime.  Join me on this learning journey together as we unravel the new requirements and empower you with essential knowledge to excel and prepare for the upcoming regulatory change.

Course Curriculum

9 Chapters · 43 Lessons

  1. 1

    Overview of the course

    1. (Included in full purchase)

      Opening remarks

    2. (Included in full purchase)

      Understanding your firm

    3. (Included in full purchase)

      Background - About the Financial Conduct Authority

  2. 2

    1. Introduction to the FCA Safeguarding Regime

    1. (Included in full purchase)

      The broader context - Why the concern by the Financial Conduct Authority?

    2. (Included in full purchase)

      Purpose of the relevant funds regime

    3. (Included in full purchase)

      What needs to be safeguarded?

    4. (Included in full purchase)

      What are not relevant funds?

    5. (Included in full purchase)

      What does it mean in practice?

    6. (Included in full purchase)

      Section 1 - Learning summary

  3. 3

    2. Organisational Requirements

    1. (Included in full purchase)

      Purpose of the organisational requirements

    2. (Included in full purchase)

      What must firms do?

    3. (Included in full purchase)

      What does it mean in practice?

    4. (Included in full purchase)

      Section 2 - Learning summary

  4. 4

    3. Methods of Safeguarding

    1. (Included in full purchase)

      Methods of safeguarding

    2. (Included in full purchase)

      A. The segregation method

    3. (Included in full purchase)

      Segregation method: What are the requirements?

    4. (Included in full purchase)

      Segregation method: Secure liquid assets

    5. (Included in full purchase)

      Segregation method: What does it mean in practice?

    6. (Included in full purchase)

      Segregation method: Learning summary

    7. (Included in full purchase)

      B: The insurance method

    8. (Included in full purchase)

      Insurance method: What are the requirements?

    9. (Included in full purchase)

      Insurance method: What does it mean in practice?

    10. (Included in full purchase)

      Insurance Method: Learning summary

  5. 5

    4. Records, Accounts, and Reconciliations

    1. (Included in full purchase)

      Purpose of the regulations

    2. (Included in full purchase)

      What are the requirements?

    3. (Included in full purchase)

      What does it mean in practice?

    4. (Included in full purchase)

      What is D+1?

    5. (Included in full purchase)

      Section 4 - Learning summary

  6. 6

    5. Third Parties

    1. (Included in full purchase)

      Purpose of the regulations

    2. (Included in full purchase)

      What are the requirements?

    3. (Included in full purchase)

      What does it mean in practice?

    4. (Included in full purchase)

      Section 5 - Learning summary

  7. 7

    6. CASS 10A - The Resolution Pack

    1. (Included in full purchase)

      Purpose of the regulations

    2. (Included in full purchase)

      What are the requirements?

    3. (Included in full purchase)

      What does it mean in practice?

    4. (Included in full purchase)

      Section 6 - Learning summary

  8. 8

    7. Enhanced Monitoring and Reporting

    1. (Included in full purchase)

      Purpose of the regulations

    2. (Included in full purchase)

      What are the requirements?

    3. (Included in full purchase)

      Section 7 - Learning summary

  9. 9

    Conclusion and Closing Remarks

    1. (Included in full purchase)

      Insolvency case study - Rational FX Limited

    2. (Included in full purchase)

      Closing remarks

    3. (Included in full purchase)

      Reflective report

    4. (Included in full purchase)

      Course evaluation feedback

FCA CASS 15 Relevant Funds Regime

Join our course today and equip yourself with the knowledge needed to meet the upcoming regulations. Take the step towards mastering the Relevant Funds Regime.

£269.00

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