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 rightsin respect of securities and his rights in respect of funds entrustedto a firm those rights should in particular be kept distinct fromthose 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 stock lending.

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