Termination of title transfer collateral arrangements - CASS Provision: Difference between revisions
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Revision as of 10:21, 10 June 2015
7.11.9 Termination of title transfer collateral arrangements (1) If a client communicates to a firm that it wishes (whether pursuant to a contractual right or otherwise) to terminate a TTCA, and the client’s communication is not in writing, the firm must make a written record of the client’s communication, which also records the date the communication was received. (2) A firm must keep a client’s written communication, or a written record of the client's communication in (1), for five years starting from the date the communication was received by the firm. (3)
(4) A firm must keep a written record of any notification it makes to a client under (3) for a period of five years, starting from the date the notification was made. |
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