6.1.4 - CASS Provision

Template:CASS Section 6.1.4 (View Template)

Discussion

Note Recital 26 of MiFID:

In order to protect an investor's ownership and other similar rights in respect of securities and his rights in respect of funds entrusted to a firm those rights should in particular be kept distinct from those of the firm. This principle should not, however, prevent a firm from doing business in its name but on behalf of the investor, where that is required by the very nature of the transaction and the investor is in agreement, for example securities lending.

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