Download CASS Resolution Pack

Download our CASS Resolution Pack for just £65 (exc vat) today! Comply with the FCA’s Client Assets Sourcebook with our complete resolution pack template suite. Containing bespoke manuals for compliance with both CASS 10 and CASS 11, the pack contains Word and Excel formats for the RP.

Click on the below images to see samples from our CASS Manual & Resolution Pack… 

Why is a CASS Resolution Pack Important?

Principle 10 Clients’ Assets – “A firm must arrange adequate protection for clients’ assets when it is responsible for them”.

If you have obligations under CASS, you must have adequate and proportionate systems, procedures and controls in place. These measures must ensure the continued safety and security of any client assets held or controlled by the firm. The CASS Resolution Pack is a collection of records and documents that are mandatory for compliance with the client assets rules.

Where a firm holds client money and/or safe custody assets, it is obligated to have a resolution pack. This should be kept in conjunction with a master document, providing easy access to the necessary documents and information. The CASS RP is a readily available tool that assists the firm and its staff with client assets protocols.

However, its primary function is to provide relevant bodies with instant access to client asset information should a company fail and/or exit the market. Such bodies include the FCA, a insolvency practitioner or a receiver.

CASS Retrieval Timeframes

The retrieval of all documents required in the CASS Resolution Pack have a maximum timeframe of 48-hours. However, some documents are subject to an immediate retrieval rule. Documents and records that should be retrievable immediately are: –

• the document identifying the institutions referred to in CASS 10.2.1R (2);
• the document identifying individuals pursuant to CASS 10.2.1R (4);
• any written notification or acknowledgement letters referred to in CASS 10.2.1R (5);
• the most recent internal custody records checks referred to in CASS 10.3.1R (3);
• the most recent external custody reconciliations referred to in CASS 10.3.1R (5);
• the most recent internal client money reconciliations referred to in CASS 10.3.1R (7) and CASS 10.3.1R (7A); and
• the most recent external client money reconciliations referred to in CASS 10.3.1R(7A).