Application (Prime Brokerage) - CASS Provision

9.1 This chapter applies as follows: (1) CASS 9.2 and CASS 9.3 apply to a prime brokerage firm to which CASS 6 (Custody rules) applies; (2) subject to (3) and (4), CASS 9.4 and CASS 9.5 apply to a firm to which either or both CASS 6 (Custody rules) and CASS 7 (Client money rules) applies; (3) CASS 9.4 and CASS 9.5 do not apply to a firm which only arranges safeguarding and administration of assets. (4) for a firm to which CASS 7 (client money rules) applies as well as either or both of CASS 5 (Client money: insurance mediation activity) and CASS 11 (Debt management client money chapter) apply, this chapter does not apply to client money that a firm holds in accordance with CASS 5 or CASS 11. (View Template)

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