Preparing for your CAR Audit

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This course provides practical guidance on preparing for your CAR Audit.

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Join us on 30 September 2021 for this free lunch and learn webinar on ‘Preparing for your CAR Audit’, hosted by fscom Managing Director Jamie Cooke.

Course Summary

Protecting client money is a regulatory priority for the Central Bank. This is not surprising given the huge consequences to clients resulting from the misuse of client money, particularly in the event of a firm’s insolvency.

Regulation 9 of the Client Asset Regulations 2015 requires that investment firms arrange for an external auditor in relation to its safeguarding of client money on at least an annual basis. So how should you prepare for your audit? What areas is the auditor likely to cover?

To find out, register for this webinar on preparing for a CAR Audit. The course will focus on the six key principles of the Client Asset Regulations.

• Segregation.

• Designation and Registration.

• Reconciliation.

• Daily Calculation.

• Client Disclosure and Client Consent.

• Risk Management.

Who Should Attend?

This course is useful for those holding the PCF-45 Head of Client Asset Oversight function, or anyone involved in client money compliance at an investment firm authorised by the Central Bank.

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Organiser fscom

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fscom is one of the leading compliance firms for the regulated sector in Ireland.

We are a multi-disciplinary provider of compliance solutions spanning CBI authorisations, regulatory advice, assurance, interim PCF roles and in company training solutions. As highly qualified professionals, who have worked in industry, we analyse the regulations affecting your business,  help you understand the impact of the regulations and how to ensure you are adhering to them within your business. We will work with you to design practical solutions for your specific business model.

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