CASS Compliance FCA Templates
CASS Compliance
The CASS Sourcebook is part of the FCA Handbook and applies to all firms who hold or control client money and safe custody assets (client assets). The guidance, rules and requirements set out in CASS have been created to ensure that adequate protections and controls are in place to safeguard client assets should a firm fail or exit the market.
Client Assets is an area of high importance to the FCA. The regulator has made significant changes to this area since taking over the role from the FSA. The importance of Client Assets is mae clear by one of the FCA’s defining Principles for firms: –
Principle 10 Clients’ Assets – “A firm must arrange adequate protection for clients’ assets when it is responsible for them”.
CASS Objectives
In our market leading CASS Compliance FCA Templates manual, we have provided customisable policies, procedures and templates for complying with the CASS Sourcebook. The pack includes extensive CASS resolution pack templates for both CASS 10 and CASS 11. These CASS RP documents are provided in both Word and Excel formats for ease of use.
Firms are required to ensure the security, adequate protections and safeguarding of client money and client assets. The main manual covers the below areas, all of which can be edited to suit the business type and industry.
- CASS Firm Classification
- Classification Questionnaire & Returns
- CASS Operational Oversight Function
- Senior Managers & Certification Regime (SMCR)
- Client Money Policy & Procedures
- Client Assets Policy & Procedures
- Title Transfer Collateral Arrangements
- Terminating a TTCA
- Resolution Pack (CASS RP)
- CASS Retrieval Timeframes
- Resolution Pack Word Templates
- CASS 10 Resolution Pack Master Document
- CASS 10 Templates
- Appointed Institutions
- Appointed Agents
- CASS Employees & Oversight
- CASS Outsourcing
- Clients
- CASS Resolution Pack Templates
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CASS Policy Templates & Resolution Pack
£65.00 (ex vat)