CASS Manual & Resolution Packs

If you are a regulated firm that holds client assets and/or client money, you will need to comply with the FCA’s CASS Sourcebook. Our CASS Manual & Resolution Packs cover the extensive requirements, including procedures, controls and measures for safeguarding client money and assets.

£85.00 (ex vat)

Our CASS Manual & Resolution Packs covers the main CASS Sourcebook requirements and associated client asset regulations, our manual provides guidance on the CASS standards and expectations and working policies for the CASS 6 & 7 regulations. With ready-to-use templates for completing your Resolution Packs, whilst the CASS Sourcebook is already broadly aligned with MiFID II, we have still added the MiFID II client assets rules requirements.

CASS Manual and Resolution Packs
TYPE: Policy, Procedure & Templates SIZE: 80 pages FORMAT: Word.doc & Excel
DELIVERY: Digital via Email CUSTOMISABLE: Yes
▪ CASS Introduction & Firm Classification
▪ Classification Questionnaire
▪ Returns, Notifications & CMAR
▪ CF10a or SMF18 Oversight Function
▪ Client Money Policy & Procedures
• Client Accounts
• Segregation of Client Money
• Selection Due Diligence
• Qualifying Money Market Funds
• Physical Receipts of Client Money
• Client Money Receipts and Payments
• Client Money Held by a Third Party
• Specific Client Money Rules
• Records, Reconciliations and Reporting
• Letters, Agreements and Notifications
▪ Client Assets Policy & Procedures
• Registration and Recording of Legal Title
• Allocated but Unclaimed Safe Custody Assets
• Depositing Safe Custody Assets with Third Parties
• Third Party Custody Agreements
• Use of Safe Custody Assets
• Acknowledgement Letters, Agreements and Notifications
▪ CASS 10 & CASS 11 Resolution Packs
• Appointed Institutions
• Agents (inc AR’s, tied agents & field representatives)
• CASS Employees and Oversight
• CASS Outsourcing (inc Group Members & Third Parties)
• Clients
• Location data for Acknowledgement Letters
• Executed Agreements, Side Letters & Notifications