CF10A

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The CF10A is that poor, sainted soul who is responsible in your organisation for its compliance with the FCA’s CASS client money and client asset rules. Such a person, if not of a naturally anxious or timid disposition, will rapidly become so upon realising the hellish job of managing this regulatory risk, and the potentially personal liability that attaches to any screw-ups.

After the head of the documentation unit, the CF10A is next-least coveted position in the organisation, and is awarded to people the same way Joe Pesci became a “made guy” in Goodfellas.

See also

CASS Anatomy