CASS Manual Resolution Pack Templates

We offer one of the only CASS template packs in the industry and are market leaders in FCA document development. The CASS RP Templates include a 50-page manual with client money and assets policy templates, as well as Excel and Word versions of the mandatory CASS Resolution Pack templates.

CASS Requirements

Firms who hold or control client money or safe custody assets as part of their business are obligated to comply with the FCA’s Client Assets Sourcebook (CASS) rules. The requirements set out the mandatory policies, documents and submissions required of CASS firms.

The aim of CASS is to ensure a firm has adequate and compliant controls and resources in place should they fail or exit the market. This is to protect client money and keep assets safe. Risk management is also an important part of the CASS requirements, with firms expected to identify, assess and mitigate risks associated with financial loss.