82,897
edits
CF10a: Difference between revisions
no edit summary
Amwelladmin (talk | contribs) No edit summary |
Amwelladmin (talk | contribs) No edit summary |
||
| Line 1: | Line 1: | ||
{{a|people|{{image|CASS Garb|png|A [[CASS officer]]’s ceremonial Mithril garb.}}}}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 is likely to be of a nervous disposition, even if {{sex|she}} | {{a|people|{{image|CASS Garb|png|A [[CASS officer]]’s ceremonial Mithril garb.}}}}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 is 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. You get to wear a cloak of [[mithril]], made ourt of [[client money]], but it doesn’t protect you if the FCA wants to take your house away because, through an entirely uncalled-for documentation audit, you have discovered that some clot in Poland forgot to do a [[prime brokerage disclosure annex]] in 2014, and you felt you had no choice but to report it. | ||
For more information see the FCA handbook: {{handbook|SUP|10A|7}}.9R. | For more information see the FCA handbook: {{handbook|SUP|10A|7}}.9R. | ||
{{Ref}} | {{Ref}} | ||