CASS Anatomy: Difference between revisions
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This is an anatomy of the {{tag|CASS}} Rules in the {{tag|FSA}} Sourcebook. | This is an anatomy of the {{tag|CASS}} Rules in the {{tag|FSA}} Sourcebook. | ||
{{CASS Section 1 TOC}} | |||
{{CASS Section 1A TOC}} | |||
{{CASS Section 3 TOC}} | |||
{{CASS Section 5 TOC}} | |||
{{CASS Section 6 TOC}} | |||
{{CASS Section 7 TOC}} | |||
{{CASS Section 7A TOC}} | |||
{{CASS Section 8 TOC}} | |||
{{CASS Section 9 TOC}} | |||
*'''{{cassprov|1A.0}} {{cassprov|CASS firm classification and operational oversight}}''' | *'''{{cassprov|1A.0}} {{cassprov|CASS firm classification and operational oversight}}''' | ||
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*'''{{cassprov|3}} {{cassprov|Collateral}}''' | *'''{{cassprov|3}} {{cassprov|Collateral}}''' | ||
**''{{cassprov|3.1}} {{cassprov|Application and Purpose}}'' | **''{{cassprov|3.1}} {{cassprov|Application and Purpose}}'' | ||
**''{{cassprov| | **''{{cassprov|3.2}} {{cassprov|Requirements}}'' | ||
*'''{{cassprov|5.0}} {{cassprov|Client money: insurance mediation activity}}''' | *'''{{cassprov|5.0}} {{cassprov|Client money: insurance mediation activity}}''' | ||
**''{{cassprov|5.1}} {{cassprov|Application}}'' | **''{{cassprov|5.1}} {{cassprov|Application}}'' |
Revision as of 09:22, 20 November 2012
This is an anatomy of the CASS Rules in the FSA Sourcebook.
1 - Application and General Provisions
1.1 Application and Purpose (General)
1.2 General application: who? what?
1.3 General application: where?
1.4 Application: particular activities
1.5 Application: electronic media and E-Commerce
1A - CASS firm classification and operational oversight
1A.1 Application
1A.2 CASS Firm Classification
1A.3 Responsibility for CASS operational oversight
3 - Collateral
3.1 Application and Purpose
3.2 Requirements
5 - Client money: insurance mediation activity
5.1 Application
5.2 Holding money as agent of insurance undertaking
5.3 Statutory trust
5.4 Non-statutory client money trust
5.5 Segregation and the operation of client money accounts
5.6 Client money distribution
5.7 Mandates
5.8 Safe keeping of client's documents and other assets
5 - Annex 1 Segregation of designated investments: permitted investments, general principles and conditions
6 - Custody rules
6.1 Application
6.2 Holding of client assets
- 6.2.1 Requirement to protect clients' safe custody assets
- 6.2.2 Requirement to have adequate organisational arrangements
- 6.2.3 Registration and recording of legal title
- 6.2.4 (Nominee companies)
- 6.2.5 Recording title to safe custody assets
- 6.2.6 (Adequate investigations)
- 6.2.7 (documents of title to bearer assets)
6.3 Depositing assets and arranging for assets to be deposited with third parties
- 6.3.1 - Criteria for depositing assets with a third party
- 6.3.2 - Considerations when discharging obligations under this part
- 6.3.3 - Issues firms should address in their agreements with third party custodians
- 6.3.4 - Suitable jurisdictions for the deposit of safe custody assets
- 6.3.4A - Third-party custody agreements
- 6.3.4B - Third-party custody agreements
- 6.3.5 - Agreements with third party custodians not to contain security interests ...
- 6.3.6 - ... er, except in the following cases
- 6.3.7 - When a firm is considered to be acting on the instructions of a professional client
- 6.3.8 - Safe custody asset includes client money
- 6.3.9 - And don't think this provision allows a right of set-off
6.4 Use of safe custody assets
Template:CASS Section 6.5 TOC
6.6 Template:Records, accounts and reconciliations (From 1/6/2015)
7 - Client money rules
Template:CASS Section 7.2
7.3 Organisational requirements: client money
Template:CASS Section 7.4
7.5 Transfer of client money to a third party
7.6 Records, accounts and reconciliations
7.7 Statutory trust
7.8 Notification and acknowledgement of trust
7.10 Application and purpose
- 7.10.3 Opt-in to the client money rules
- 7.10.8 Money that is not client money
- 7.10.9 Professional client opt-out
- 7.10.11 Opt-outs for non-IMD business
Credit institutions and approved banks
- 7.10.16 R The banking exemption
- 7.10.17 G
- 7.10.18 G
- 7.10.19 R Disclosure required where held under banking exemption
- 7.10.20 R Disclosure required where money ceases to be held under banking exemption
- 7.10.21 G
- 7.10.22 R
- 7.10.23 G
- 7.10.24 R
7A Client money distribution
7A.1 Application and purpose
7A.2 Primary pooling events
7A.3 Secondary pooling events
- Failure of a bank, intermediate broker, settlement agent or OTC counterparty: secondary pooling events:7A.3.1 | 7A.3.2 | 7A.3.3
- Failure of a bank: 7A.3.4 | 7A.3.5
- Failure of a bank: pooling: 7A.3.6 | 7A.3.7 | 7A.3.8 | 7A.3.9 | 7A.3.10 | 7A.3.11 | 7A.3.12
- Client money received after the failure of a bank: 7A.3.13 | 7A.3.14 | 7A.3.15
- Failure of an intermediate broker, settlement agent or OTC counterparty: Pooling: 7A.3.16 | 7A.3.17
- Client money received after the failure of an intermediate broker, settlement agent or OTC counterparty: 7A.3.18
- Notification to the FCA: failure of a bank, intermediate broker, settlement agent or OTC counterparty: 7A.3.19
8 - Mandates
8.1 Application
8.2 Definition of mandate (Comes into force on 01/01/2013)
8.3 Records and internal controls (Comes into force on 01/01/2013)
9.0 - Prime brokerage
9.1 Application
9.2 Prime broker's daily report to clients
9.3 Prime brokerage agreement disclosure annex
9.4 Information to clients concerning custody assets and client money
- 1A.0 CASS firm classification and operational oversight
- 3 Collateral
- 5.0 Client money: insurance mediation activity
- 5.1 Application
- 5.2 Holding money as agent of insurance undertaking
- 5.3 Statutory trust
- 5.4 Non-statutory client money trust
- 5.5 Segregation and the operation of client money accounts
- 5.6 Client money distribution
- 5.7 Mandates
- 5.8 Safe keeping of client's documents and other assets
- 5 Annex 1 Segregation of designated investments: permitted investments, general principles and conditions
- 6.0 Custody rules
- 7.0 Client money rules
- 7.0 Annex 1
- 7.0A Client money distribution
- 8.0 Mandates
- 9.0 Prime brokerage
Schedule: Transitional Provisions and Schedules
Update to {{anat|cass}}