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| This is an anatomy of the {{tag|CASS}} Rules in the {{tag|FSA}} Sourcebook. | | {{a|cass|}} |
| | For a general exposition on the glorious topic of [[client money]], go to the [[client money]] page. It’s a trip. |
| | ==={{Anatomy}}=== |
| | This is an anatomy of the {{tag|CASS}} Rules in the {{tag|FCA}} Sourcebook. |
| {{CASS Section 1 TOC}} | | {{CASS Section 1 TOC}} |
| {{CASS Section 1A TOC}} | | {{CASS Section 1A TOC}} |
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| {{CASS Section 8 TOC}} | | {{CASS Section 8 TOC}} |
| {{CASS Section 9 TOC}} | | {{CASS Section 9 TOC}} |
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| *'''{{cassprov|1A.0}} {{cassprov|CASS firm classification and operational oversight}}'''
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| **''{{cassprov|1A.1}} {{cassprov|Application}}''
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| **''{{cassprov|1A.2}} {{cassprov|CASS Firm Classification}}''
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| **''{{cassprov|1A.3}} {{cassprov|Responsibility for CASS operational oversight}}''
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| *'''{{cassprov|3}} {{cassprov|Collateral}}'''
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| **''{{cassprov|3.1}} {{cassprov|Application and Purpose}}''
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| **''{{cassprov|3.2}} {{cassprov|Requirements}}''
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| *'''{{cassprov|5.0}} {{cassprov|Client money: insurance mediation activity}}'''
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| **''{{cassprov|5.1}} {{cassprov|Application}}''
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| **''{{cassprov|5.2}} {{cassprov|Holding money as agent of insurance undertaking}}''
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| **''{{cassprov|5.3}} {{cassprov|Statutory trust}}''
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| **''{{cassprov|5.4}} {{cassprov|Non-statutory client money trust}}''
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| **''{{cassprov|5.5}} {{cassprov|Segregation and the operation of client money accounts}}''
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| **''{{cassprov|5.6}} {{cassprov|Client money distribution}}''
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| **''{{cassprov|5.7}} {{cassprov|Mandates}}''
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| **''{{cassprov|5.8}} {{cassprov|Safe keeping of client's documents and other assets}}
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| **''{{cassprov|5}} {{cassprov|Annex 1}} {{cassprov|Segregation of designated investments: permitted investments, general principles and conditions}}
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| *'''{{cassprov|6.0}} {{cassprov|Custody rules}}
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| **''{{cassprov|6.1}} {{cassprov|Application}}
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| **''{{cassprov|6.2}} {{cassprov|Holding of client assets}}
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| **''{{cassprov|6.3}} {{cassprov|Depositing assets and arranging for assets to be deposited with third parties}}
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| **''{{cassprov|6.4}} {{cassprov|Use of safe custody assets}}
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| **''{{cassprov|6.5}} {{cassprov|Records, accounts and reconciliations}}
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| *'''{{cassprov|7.0}} {{cassprov|Client money rules}}
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| **''{{cassprov|7.1}} {{cassprov|Application and Purpose}}
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| **''{{cassprov|7.2}} {{cassprov|Definition of client money}}
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| **''{{cassprov|7.3}} {{cassprov|Organisational requirements: client money}}
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| **''{{cassprov|7.4}} {{cassprov|Segregation of client money}}
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| **''{{cassprov|7.5}} {{cassprov|Transfer of client money to a third party}}
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| **''{{cassprov|7.6}} {{cassprov|Records, accounts and reconciliations}}
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| **''{{cassprov|7.7}} {{cassprov|Statutory trust}}
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| **''{{cassprov|7.8}} {{cassprov|Notification and acknowledgement of trust}}
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| *'''{{cassprov|7.0}} {{cassprov|Annex 1}}
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| *'''{{cassprov|7.0A}} {{cassprov|Client money distribution}}
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| **''{{cassprov|9.1}} {{cassprov|Application and purpose}}
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| **''{{cassprov|9.2}} {{cassprov|Primary pooling events}}
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| **''{{cassprov|9.3}} {{cassprov|Secondary pooling events}}
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| *'''{{cassprov|8.0}} {{cassprov|Mandates}}
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| **''{{cassprov|8.1}} {{cassprov|Application}}
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| *'''{{cassprov|9.0}} {{cassprov|Prime brokerage}}
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| **''{{cassprov|9.1}} {{cassprov|Application}}
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| **''{{cassprov|9.2}} {{cassprov|Prime broker's daily report to clients}}
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| **''{{cassprov|9.3}} {{cassprov|Prime brokerage agreement disclosure annex}}
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| '''Schedule: {{cassprov|Transitional Provisions and Schedules}}''' | | '''Schedule: {{cassprov|Transitional Provisions and Schedules}}''' |
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| {{cassboilerplate}}
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