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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