Your CASS Policy Is Only as Strong as the Paper It's Written On.
A weak client assets policy isn't just a compliance gap — it's a liability waiting to happen.
This ready-to-use CASS Client Assets Policy gives FCA-regulated firms a complete safeguarding framework, covering governance, segregation, third-party due diligence, reconciliation, insolvency planning, and SM&CR accountability — all mapped to CASS 6, 7, 9, and 10.
Customise with your firm name. Start using it immediately.
What's included: Client asset definition & classification · Segregation requirements · Third-party custodian due diligence · Reconciliation & record-keeping · Client communication & transparency · CASS Resolution Pack · Risk assessment & internal controls · Staff training framework · Monitoring & audit schedule
Built for: Compliance managers, CASS Oversight Function holders, risk teams, and compliance consultants across all FCA-regulated firms holding client money or custody assets.
Your CASS Policy Is Only as Strong as the Paper It's Written On.
A weak client assets policy isn't just a compliance gap — it's a liability waiting to happen.
This ready-to-use CASS Client Assets Policy gives FCA-regulated firms a complete safeguarding framework, covering governance, segregation, third-party due diligence, reconciliation, insolvency planning, and SM&CR accountability — all mapped to CASS 6, 7, 9, and 10.
Customise with your firm name. Start using it immediately.
What's included: Client asset definition & classification · Segregation requirements · Third-party custodian due diligence · Reconciliation & record-keeping · Client communication & transparency · CASS Resolution Pack · Risk assessment & internal controls · Staff training framework · Monitoring & audit schedule
Built for: Compliance managers, CASS Oversight Function holders, risk teams, and compliance consultants across all FCA-regulated firms holding client money or custody assets.
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