Secondary pooling events - CASS Provision

CASS Anatomy™ Go Premium {{{2}}} 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 This resource therefore may well be out of date, even if it was accurate once, which it might not have been.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 Comments? Questions? Suggestions? Requests? Insults? We’d love to 📧 hear from you. Sign up for our newsletter.

7A.3 Secondary pooling events

Failure of a bank, intermediate broker, settlement agent or OTC counterparty: secondary pooling events:7A.3.1 | 7A.3.2 | 7A.3.3

Failure of a bank: 7A.3.4 | 7A.3.5

Failure of a bank: pooling: 7A.3.6 | 7A.3.7 | 7A.3.8 | 7A.3.9 | 7A.3.10 | 7A.3.11 | 7A.3.12

Client money received after the failure of a bank: 7A.3.13 | 7A.3.14 | 7A.3.15

Failure of an intermediate broker, settlement agent or OTC counterparty: Pooling: 7A.3.16 | 7A.3.17

Client money received after the failure of an intermediate broker, settlement agent or OTC counterparty: 7A.3.18

Notification to the FCA: failure of a bank, intermediate broker, settlement agent or OTC counterparty: 7A.3.19