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  1. Point in time
    2014-08-04

CASS 10.3 Existing records forming part of the CASS resolution pack

CASS 10.3.1RRP

A firm must include, as applicable, within its CASS resolution pack the records required under:

  1. (1)

    CASS 6.3.1R (4) (safe custody assets: appropriateness of the firm’s selection of a third party);

  2. (2)

    CASS 6.4.3 R (firm’s use of safe custody assets);

  3. (3)

    CASS 6.5.1 R (safe custody assets held for each client), including internal reconciliations carried out pursuant to CASS 6.5.2 R as explained in the guidance at CASS 6.5.4 G;

  4. (4)

    CASS 6.5.2A R (client agreements: firm’s right to use);

  5. (5)

    CASS 6.5.6 R (Reconciliations with external records);

  6. (6)

    CASS 7.4.10 R (client money: appropriateness of the firm’s selection of a third party);

  7. (7)

    CASS 7.6.1 R (client money held for each client), including internal reconciliations carried out pursuant to CASS 7.6.2 R as explained in the guidance at CASS 7.6.6 G;

  8. (8)

    CASS 7.6.7 R and CASS 7.6.8 R (method of internal reconciliation of client money balances);

  9. (9)

    CASS 7.6.9 R (Reconciliations with external records);

  10. (10)

    COBS 3.8.2 R (2)(a) and COBS 3.8.2 R (2)(c) (client categorisation); and

  11. (11)

    COBS 8.1.4 R (retail and professional client agreements).

CASS 10.3.2GRP

CASS 10.3.1 R does not change the record keeping requirements of the rules referred to therein.