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

Product Information

BENCH 2.1 Parts of the Handbook applicable to regulated benchmark administrators and benchmark contributors CASS 5 Annex 1 Segregation of designated investments: permitted investments, general principles and conditions (This Annex belongs to CASS 5.5.14 R) SUP 10C Annex 6R Form D: Notification: Changes to personal information/application details and conduct breaches/disciplinary action related to conduct SUP 10C Annex 9D Form J: Notification of significant changes in responsibilities of a person performing a senior management function

MIFIDPRU 4 Annex 11R Application under MIFIDPRU 4.5.9R – permission to rebase fixed overhead requirement EG 8 Variation and cancellation of permission and imposition of requirements on the FCA's own initiative and intervention against incoming firms A firm must pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, fair and not misleading. COBS 19.6A Restrictions on early exit charges in personal pension schemes and stakeholder pension schemes ICOBS 6 Annex 3 Providing product information by way of a standardised insurance information document:Large and medium CASS firms need to complete a Client Money and Asset Return (CMAR) each month showing details of client assets held. These firms must also designate a director or senior manager who has been pre-approved by the regulators as formally responsible for compliance with CASS obligations. This individual may be held accountable if a firm fails to comply with its obligations under CASS. DEPP 6A The power to impose a suspension, restriction, condition, limitation or disciplinary prohibition Principle 10 (Clients' assets) requires a firm to arrange adequate protection for clients' assets when the firm is PROD 2.13 Communication, publication and post-implementation review of temporary product intervention rules GEN TP 3 Transitional Provision in relation to the Alternative Investment Fund Managers Directive Instrument 2013

COMP 4.3 Exceptions: Circumstances where a person coming within COMP 4.2.2R may receive compensation SUP 10C Annex 5R Form C: Notice of ceasing to perform controlled functions including senior management functions R (2). 2The procedure required by CASS 5.5.16 R will also 2apply where moneyis 2due and payable 2to the firm in money is strictly segregated by being transferred to client accounts that cannot be used to reimburse where the client has not responded within 28 days of the communication under sub-paragraph (i), attempting to communicate the information in (i) to the client on at least one further occasion by any means other than that used in sub-paragraph (i) including by post, electronic mail, telephone or media advertisement; and

Dear CEO letters

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

LR TR 9 Transitional Provision for a company that has a premium listing of equity shares but does not comply with LR 9.2.20R FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemptionwhich it reasonably estimates to be sufficient to cover the amount of client money which the firm expects SUP 10A Annex 6 Form C: Notice of ceasing to perform controlled functions (including senior management functions) [deleted] MIFIDPRU 7.4 Internal capital adequacy and risk assessment (ICARA) process: overview and baseline obligations the firm notifies each relevant client and has, in relation to a consumer, 5 a client agreement, 4 or terms of business which adequately explain