The Client Money and Assets (CASS) Blueprint: For CASS 6 & 7 Firms

Product Information

MIFIDPRU 4 Annex 2R Application under MIFIDPRU 4.12.4R for permission to use an advanced internal market risk model FEES 7C Temporary Permissions Regime (TPR) and Financial Service Contracts Regime (FSCR) - Single Financial Guidance Body levy

for a client for whom the firm has evidence that it was a professional client for the purposes of the custody rules at the time of the failure:MIFIDPRU 2 Annex 5 Application under MIFIDPRU 2.5.34R(2) for permission to use offsetting positions when calculating K-NPR on a consolidated basis

PERG 12 Annex 1 Examples of what is and is not advising on conversion or transfer of pension benefits RPPD link PDF The Responsibilities of Providers and Distributors for the Fair Treatment of Customers CONRED 2.4 Consumer redress scheme: identifying scheme cases and inviting consumers to request a review c) we hold all money standing to the credit of the Client Bank Account in our capacity as trustee under the laws applicable to us. SUP 16 Annex 55 Categories of investment for notifications and reports relating to approvals of financial promotionsFEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19 The FCA has invested significant effort in enhancing protection for client assets. CASS is regularly updated and the FCA has also carried out active supervisory work on how firms are implementing requirements to protect client assets. IPRU-INV 12 Financial resources requirements for operators of electronic systems in relation to lending. MIFIDPRU 7 Annex 3 Notification under MIFIDPRU 7.1 and SYSC 19G.1 on the requirements to establish certain committees or the additional remuneration requirements