Related provisions for CASS 7.16.2

CASS 11.1.4R01/04/2014

Subject to CASS 11.1.6 R, only the rules and guidance in the debt management client money chapter listed in the table below apply to CASS small debt management firms.

Reference	Rule
CASS 11.1.1 R to CASS 11.1.4 R and CASS 11.1.6 R	Application
CASS 11.2.1 R to CASS 11.2.9 G	Firm classification
CASS 11.3.1 R to CASS 11.3.2 R and CASS 11.3.6 R	Responsibility for CASS operational oversight
CASS 11.4.1 G to CASS 11.4.4 G	Definition of client money and discharge of fiduciary duty
CASS 11.5.1 R and CASS 11.5.2 R	Organisational requirements
CASS 11.6.1 R and CASS 11.6.2 G	Statutory trust
CASS 11.7.1 G and CASS 11.7.5 G	Selecting an approved bank at which to hold client money
CASS 11.8.1 G to CASS 11.8.13 R	Client bank account acknowledgement letters
CASS 11.9.1 R to CASS 11.9.13 G	Segregation and the operation of client money accounts
CASS 11.10.1 R to CASS 11.10.7 G	Payments to creditors
CASS 11.11.1 R to CASS 11.11.12 R , CASS 11.11.30 R and CASS 11.11.32 G	Records, accounts and reconciliations
CASS 11.12.1 G to CASS 11.12.7 R	CASS 11 resolution pack
CASS 11.13.1 R to CASS 11.13.14 R	Client money distribution in the event of a failure of a firm or approved bank

CASS 11.9.5R01/04/2014

Where a CASS debt management firm receives client money in the form of cash, a cheque or other payable order, it must:(1) pay the money into a client bank account in accordance with CASS 11.9.1 R promptly and no later than on the business day after it receives the money;(2) if the firm holds the money overnight, hold it in a secure location in line with Principle 10; and(3) record the receipt of the money in the firm's books and records under the applicable requirements of CASS

CASS 11.2.2R01/04/2014

For the purpose of calculating the value of the total amounts of client money that it holds on any given day during a calendar year (in complying with CASS 11.2.1 R) a CASS debt management firm must base its calculation on accurate internal records of client money holdings. A CASS large debt management firm must do this using the internal reconciliations performed during the previous year that are prescribed in CASS 11.11.13 R. A CASS small debt management firm must use the records

CASS 10.2.2G01/06/2015

For the purpose of CASS 10.2.1R (4), examples of individuals within the firm who are critical or important to the performance of operational functions include:(1) those necessary to carry out both internal and external client money and safe custody asset reconciliations and record checks1; and(2) those in charge of client documentation for business involving client money and safe custody assets.

BIPRU 4.2.5G01/01/2007

(1) This paragraph provides guidance on BIPRU 4.2.2 R and in particular BIPRU 4.2.2 R (1).(2) The information that a firm produces or uses for the purpose of the IRB approach should be reliable and take proper account of the different users of the information produced (customers, shareholders, regulators and other market participants).(3) A firm should establish quantified and documented targets and standards, against which it should test the accuracy of data used in its rating

SUP 16.12.27R01/01/2021

The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.26 R, unless indicated otherwise13.

Data item 18	Daily	Weekly	Monthly 18	Quarterly 18	Half yearly 18	Annual 18
45COREP/FINREP	Refer to UK CRR 82 and applicable technical standards
Annual reconciliation						80 business days
Solvency statement						3 months
FSA001				20 business days	30 business days (note 1); 4580 business days (note 2)
FSA002				20 business days	30 business days (note 1); 4580 business days (note 2)
FSA003				20 business days	30 business days (note 1); 4580 business days (note 2)
FSA004				20 business days	30 business days (note 1); 4580 business days (note 2)
FSA005				20 business days	30 business days (note 1); 4580 business days (note 2)
FSA006				20 business days	30 business days (note 1); 4580 business days (note 2)
FSA007						2 months
FSA016					30 business days
FSA018				45 business days
FSA019						2 months
FSA028					30 business days
FSA029				20 business days
FSA030				20 business days
FSA031				20 business days
FSA032				20 business days
FSA033				20 business days
FSA034				20 business days
FSA035				20 business days 43
FSA039					30 business days
FSA040				15 business days
FSA045			20 business days	30 business days (note 1); 45 business days (note 2)
FSA046				20 business days 80 (Note 1); 45 business days 80 (Note 2) 15	15
FSA04713	22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question	22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question	15 business days	15 business days or one Month (Note 3)24 24
FSA048	22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question	22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question	15 business days	15 business days or one Month (Note 3)24 24
FSA050			15 business days
FSA051			15 business days
FSA052		22.00 hours (London time) on the second business day immediately following the last day of the reporting period for the item in question	15 business days
FSA053				15 business days
FSA054				15 business days
FSA055						15 business days
15FSA058				20 business days (Note 1), 45 business days (Note 2)
52FIN071				20 business days
Section A RMAR				30 business days	30 business days
Section B RMAR				30 business days	30 business days
Section C RMAR				30 business days	30 business days
Section D1 62RMAR 50 17 50 50				30 business days	30 business days
Section F RMAR					30 business days
Note 1	For unconsolidated and solo consolidated reports.
Note 2	For UK consolidation group reports.80
Note 3	It is one Month if the report relates to a non-UK DLG by modification.

Related provisions for CASS 7.16.2

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