Records, accounts and reconciliations - CASS Provision: Difference between revisions

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{{casssnap|6.5}}
{{casssnap|6.5}}
Cass 6.5 provides, in sum:
*'''Records and Accounts'''
*'''Record Keeping''': records must be kept for at least five years.
*'''Internal reconciliation of safe custody assets held for clients'''
*'''Reconciliations with external records'''
*'''Frequency of external reconciliations'''
*'''Independence of person conducting reconciliations''' 
*'''Reconciliation discrepancies'''
*'''Notification requirements'''
*'''Audit of compliance with the MiFID custody rules'''


{{cassanatomy}}
{{cassanatomy}}

Latest revision as of 13:51, 29 April 2013

Template:CASS Section 6.5

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Cass 6.5 provides, in sum:

  • Records and Accounts
  • Record Keeping: records must be kept for at least five years.
  • Internal reconciliation of safe custody assets held for clients
  • Reconciliations with external records
  • Frequency of external reconciliations
  • Independence of person conducting reconciliations
  • Reconciliation discrepancies
  • Notification requirements
  • Audit of compliance with the MiFID custody rules


Update to {{anat|cass}}

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