Records, accounts and reconciliations - CASS Provision: Difference between revisions
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*'''Notification requirements''' | *'''Notification requirements''' | ||
*'''Audit of compliance with the MiFID custody rules''' | *'''Audit of compliance with the MiFID custody rules''' | ||
{{cassanatomy}} | {{cassanatomy}} |
Latest revision as of 13:51, 29 April 2013
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}}