CF10a: Difference between revisions

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the person at a CASS large firm (such as a [[custodian]] or [[prime broker]]) who is designated as having responsibility for the [[CASS operational oversight function]] (known colloquially as the firm’s “[[CF10a]]”).  
The person at a CASS large firm (such as a [[custodian]] or [[prime broker]]) designated<ref>condemned, really</ref> with responsibility for the [[CASS operational oversight function]] (known colloquially as the firm’s “[[CF10a]]”). This person likely to be of a nervous disposition, even if {{sex|she}} wasn't before {{sex|she}} became the firm’s [[CF10a]]. It’s an infectious kind of nervousness.


For more information see the FCA handbook: {{handbook|SUP|10A|7}}.9R. A person likely to be of a nervous disposition, even if {{sex|she}} wasn't before {{sex|she}} became the firm’s [[CF10a]].


For more information see the FCA handbook: {{handbook|SUP|10A|7}}.9R.
{{anat|cass}}
{{anat|cass}}

Revision as of 18:18, 1 November 2016

The person at a CASS large firm (such as a custodian or prime broker) designated[1] with responsibility for the CASS operational oversight function (known colloquially as the firm’s “CF10a”). This person likely to be of a nervous disposition, even if she wasn't before she became the firm’s CF10a. It’s an infectious kind of nervousness.


For more information see the FCA handbook: SUP Chapter 10A.9R.

CASS Anatomy™

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IMPORTANT: CASS changed quite a bit after MiFID II. This resource therefore may well be out of date, even if it was accurate once, which it might not have been. This is an article about the FCA’s custody and client money rules — client assets — and is fondly known by its chapter in the FCA SourcebookTable of Contents | 1 | 1A | 3 | 5 | 6 (custody rules) | 7 (client money rules) | 7A | 8 | 9 (PBDA) | 10

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  1. condemned, really