CASS 10.3 Existing records forming part of the CASS resolution pack
A firm must include, as applicable, within its CASS resolution pack the records required under:
- (1)
CASS 6.3.2A R1 (safe custody assets: appropriateness of the firm’s selection of a third party);
1 - (1A)
CASS 6.3.6AR (third party rights over client assets);3
- (2)
CASS 6.4.3 R (firm’s use of safe custody assets);
- (3)
CASS 6.6.2 R and CASS 6.6.3 R (safe custody assets held for each client);1
1 - (4)
CASS 6.6.6 R1 (client agreements: firm’s right to use);
1 - (4A)
CASS 6.6.8 R (internal custody record checks, physical asset reconciliations and external custody reconciliations);1
- (5)
[deleted]2
11 - (5A)
SYSC 6.1.1 R (policy and procedures for carrying out record checks and reconciliations);1
- (5B)
CASS 7.13.14BR (policy for use of client bank accounts under CASS 7.13.13R(3A)(b));4
- (6)
CASS 7.13.25 R1 (client money: appropriateness of the firm’s selection of a third party);
1 - (7)
CASS 7.15.2 R, CASS 7.15.3 R and CASS 7.15.5 R (client money held for each client);1
1 - (7A)
CASS 7.15.7 R (internal client money reconciliations and external client money reconciliations);1
- (10)
COBS 3.8.2 R (2)(a) and COBS 3.8.2 R (2)(c) (client categorisation); and
- (11)
COBS 8.1.4 R or COBS 8A.1.9R3 (retail and professional client agreements).2
1
CASS 10.3.1 R does not change the record keeping requirements of the rules referred to therein.