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    2017-03-31

WDPG 4.3 Client monies and custody assets

WDPG 4.3.1G

1Any firm holding client monies or custody assets must ensure that it complies with all applicable CASS rules.

WDPG 4.3.2G

In particular, all firms that fall under the requirements of CASS 10.1.1R must maintain a CASS resolution pack.

WDPG 4.3.3G

The purpose of the CASS resolution pack is to ensure that a firm maintains and is able to retrieve information that would, in the event of its insolvency, help an insolvency practitioner achieve a timely return of client money and safe custody assets held by the firm to its clients.