Template:CASS Section 6 TOC: Difference between revisions
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''{{cassprov|6.1}} {{cassprov|Application}}'' <br> | ''{{cassprov|6.1}} {{cassprov|Application}}'' <br> | ||
{{CASS Section 6.2 TOC}} | {{CASS Section 6.2 TOC}} | ||
{{CASS Section 6. | {{CASS Section 6.3 TOC}} | ||
''{{cassprov|6.4}} {{cassprov|Use of safe custody assets}}'' <br> | ''{{cassprov|6.4}} {{cassprov|Use of safe custody assets}}'' <br> | ||
''{{cassprov|6.5}} {{cassprov|Records, accounts and reconciliations}}'' <br> | ''{{cassprov|6.5}} {{cassprov|Records, accounts and reconciliations}}'' <br> |
Revision as of 14:15, 4 October 2013
6 - Custody rules
6.1 Application
6.2 Holding of client assets
- 6.2.1 Requirement to protect clients' safe custody assets
- 6.2.2 Requirement to have adequate organisational arrangements
- 6.2.3 Registration and recording of legal title
- 6.2.4 (Nominee companies)
- 6.2.5 Recording title to safe custody assets
- 6.2.6 (Adequate investigations)
- 6.2.7 (documents of title to bearer assets)
6.3 Depositing assets and arranging for assets to be deposited with third parties
- 6.3.1 - Criteria for depositing assets with a third party
- 6.3.2 - Considerations when discharging obligations under this part
- 6.3.3 - Issues firms should address in their agreements with third party custodians
- 6.3.4 - Suitable jurisdictions for the deposit of safe custody assets
- 6.3.4A - Third-party custody agreements
- 6.3.4B - Third-party custody agreements
- 6.3.5 - Agreements with third party custodians not to contain security interests ...
- 6.3.6 - ... er, except in the following cases
- 6.3.7 - When a firm is considered to be acting on the instructions of a professional client
- 6.3.8 - Safe custody asset includes client money
- 6.3.9 - And don't think this provision allows a right of set-off
6.4 Use of safe custody assets
6.5 Records, accounts and reconciliations