7.10.1 - CASS Provision

FCA CASS Rules
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IMPORTANT: CASS changed quite a bit after MiFID II. This resource therefore may well be out of date, even if it was accurate once, which it might not have been. This is an article about the FCA’s custody and client money rules — client assets — and is fondly known by its chapter in the FCA Sourcebook Table of Contents \| 1 \| 1A \| 3 \| 5 \| 6 (custody rules) \| 7 (client money rules) \| 7A \| 8 \| 9 (PBDA) \| 10

Rule 7.10.1 in a Nutshell™

Use at your own risk, campers!

Template:Nutshell CASS 7.10.1 view template

Full text of Rule 7.10.1

as of 26/2/2020 7.10.1 This chapter applies to a firm that receives money from or holds money for, or on behalf of, a client in the course of, or in connection with, its: (1) MiFID business; and/or (2) designated investment business; and/or (3) stocks and shares ISA business; and/or (4) innovative finance ISA business; and/or (5) lifetime ISA business, unless otherwise specified in this section. view template