Client Money (CASS)

 

Track and demonstrate compliance with the CASS rules:

  • Firm Classification

  • Collateral

  • CASS 5 Client money: insurance distribution activity

  • CASS 6 Custody Rules

  • Loan-Based Crowdfunding Elections

  • Professional Client Opt-Out

  • Credit Institutions and Approved Banks

  • Safeguarding Client Money

  • Risk Mitigation and Organisational Arrangements

  • CASS 7A – Client Money Distribution and Transfer Rules

  • CASS 8 Mandates

  • CASS 9 – Client Reporting

  • CASS 10 – CASS Resolution Pack