Related provisions for SUP 10C.3.15

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CASS 7.10.34RRP

Subject to CASS 7.10.35 R only the client money rules listed in the table below apply to a trustee firm in connection with money that the firm receives, or holds for or on behalf of a client in the course of or in connection with its designated investment business which is not MiFID business.

Reference

Rule

CASS 7.10.1 R to CASS 7.10.6 G, and CASS 7.10.16 R to CASS 7.10.27 R

Application

CASS 7.10.33 R to CASS 7.10.40 G

Trustee firms

CASS 7.10.41 G

General purpose

CASS 7.13.3 R to CASS 7.13.4 G

Depositing client money

CASS 7.13.8 R to CASS 7.13.11 G

Selection, appointment and review of third parties

CASS 7.13.12 R to CASS 7.13.19 G

Client bank accounts

CASS 7.13.20 R to CASS 7.13.25 R

Diversification of client money

CASS 7.13.26 R to CASS 7.13.29 G

Qualifying money market funds

CASS 7.15.5 R (3), CASS 7.15.7 R and CASS 7.15.12 R to CASS 7.15.34 G

Reconciliation of client money balances

CASS 7.16

The standard methods of internal client money reconciliation

CASS 7.17.2 R to CASS 7.17.4 G

Requirement
CREDS 2.2.39GRP
A credit union should identify present and future staffing requirements (including volunteers and paid staff) and make appropriate plans for their recruitment and training.
SYSC 19D.3.44RRP
(1) A firm must ensure that guaranteed variable remuneration is not part of prospective remuneration plans.(2) A firm must not award, pay or provide guaranteed variable remuneration unless:(a) it is exceptional;(b) it occurs in the context of hiring new dual-regulated firms Remuneration Code staff;(c) the firm has a sound and strong capital base; and(d) it is limited to the first year of service.[Note: article 94(1)(d) and (e) of the CRD and Standard 11 of the FSB Compensation