Records, accounts and reconciliations - CASS Provision
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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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