Related provisions for SUP 10C.3.15

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

CASS 5.5.15GRP
A firm which takes advantage of CASS 5.5.14 R will need to consider whether its permission should include the permitted activity of managing investments. If the firm is granted a power to manage with discretion the funds over which it is appointed as trustee under the trust deed required by CASS 5.4 then it will be likely to need a permission to manage investments. It is unlikely to need such a permission, however, if it is merely granted a power to invest but the deed stipulates
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.