CASS Anatomy

This is an anatomy of the CASS Rules in the FSA Sourcebook.

• 1.0 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.0 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
  • 1.1 Requirements
• 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
  • 6.1 Application
  • 6.2 Holding of client assets
  • 6.3 Depositing assets and arranging for assets to be deposited with third parties
  • 6.4 Use of safe custody assets
  • 6.5 Records, accounts and reconciliations
• 7.0 Client money rules
  • 7.1 Application and Purpose
  • 7.2 Definition of client money
  • 7.3 Organisational requirements: client money
  • 7.4 Segregation of client money
  • 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
• 7.0 Annex 1
• 7.0A Client money distribution
  • 9.1 Application and purpose
  • 9.2 Primary pooling events
  • 9.3 Secondary pooling events
• 8.0 Mandates
  • 8.1 Application
• 9.0 Prime brokerage
  • 9.1 Application
  • 9.2 Prime broker's daily report to clients
  • 9.3 Prime brokerage agreement disclosure annex

Schedule: Transitional Provisions and Schedules

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