82,891
edits
Records, accounts and reconciliations - CASS Provision: Difference between revisions
Records, accounts and reconciliations - CASS Provision (view source)
Revision as of 13:51, 29 April 2013
, 29 April 2013no edit summary
Amwelladmin (talk | contribs) (Created page with "{{casssnap|6.5}} {{cassanatomy}}") |
Amwelladmin (talk | contribs) No edit summary |
||
| (One intermediate revision by the same user not shown) | |||
| Line 1: | Line 1: | ||
{{casssnap|6.5}} | {{casssnap|6.5}} | ||
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''' | |||
{{cassanatomy}} | {{cassanatomy}} | ||