Information to clients - CASS Provision: Difference between revisions

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===CASS {{cassprov|9}} - {{cassprov|Prime brokerage}}===
{{CASS 9}}
===CASS {{cassprov|9}} - {{cassprov|Information to clients}}===
''{{cassprov|9.1}} {{p|cass|Application (Prime Brokerage)|Application}}'' <br>  
''{{cassprov|9.1}} {{p|cass|Application (Prime Brokerage)|Application}}'' <br>  
''{{cassprov|9.2}} {{cassprov|Prime broker's daily report to clients}}'' <br>
''{{cassprov|9.2}} {{cassprov|Prime broker's daily report to clients}}'' <br>

Latest revision as of 13:35, 1 August 2016

Template:CASS 9

CASS 9 - Information to clients

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


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 This resource therefore may well be out of date, even if it was accurate once, which it might not have been.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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