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| *'''Notification requirements''' | | *'''Notification requirements''' |
| *'''Audit of compliance with the MiFID custody rules''' | | *'''Audit of compliance with the MiFID custody rules''' |
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| [Note: article 16(1)(a) of the MiFID implementing Directive]
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| CASS 6.5.201/01/2009
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| FCAA firm must maintain its records and accounts in a way that ensures their accuracy, and in particular their correspondence to the1 safe custody assets1 held for clients.
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| [Note: article 16(1)(b) of the MiFID implementing Directive]
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| CASS 6.5.2A01/03/2011
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| FCA3A firm must keep a copy of every executed client agreement that includes that firm's right to use safe custody assets for its own account, including in the case of a prime brokerage agreement the disclosure annex referred
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| {{cassanatomy}} | | {{cassanatomy}} |