Records, accounts and reconciliations - CASS Provision

Template:CASS Section 6.5 (View Template)

Cass 6.5 provides, in sum:

• Records and Accounts
• Record Keeping: records must be kept for at least five years.
• Internal reconciliation of safe custody assets held for clients
• Reconciliations with external records
• Frequency of external reconciliations
• Independence of person conducting reconciliations
• Reconciliation discrepancies
• Notification requirements
• Audit of compliance with the MiFID custody rules

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