CF10a: Difference between revisions
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Revision as of 18:15, 1 November 2016
the person at a CASS large firm (such as a custodian or prime broker) who is designated as having responsibility for the CASS operational oversight function (known colloquially as the firm’s “CF10a”).
For more information see the FCA handbook: SUP Chapter 10A.9R. A person likely to be of a nervous disposition, even if she wasn't before she became the firm’s CF10a.
CASS Anatomy™
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