CASS Policy Templates & Resolution Pack

  • Comply with CASS 10 & 11
  • Includes CASS Resolution Pack
  • Aligned with the Client Assets Rules
  • Fully Customisable
  • Instant Download After Payment

£65.00 (ex vat)

Our exclusive CASS Policy Templates & Resolution Pack will help you to comply with the FCA’s Client Assets (CASS) Sourcebook rules for handling client monies and assets. Covering all the mandatory CASS 10 and CASS 11 requirements, the pack includes a compliant CASS Resolution Pack for you to complete and retain. Provided in both Word and Excel, you can choose which format best suits your company, enabling you to evidence your compliance to the FCA.

The pack contains 2 seperate overview documents, resolution packs and client money and client assets policy templates for CASS 10 and CASS 11. The contents are aligned with the Client Assets (CASS) Sourcebook requirements to save you time and money.

WHAT’S INCLUDED

  • CASS Guidance & Instructions
  • 12-page CASS 10 Overview Document
  • 16-page Client Money Policy & Procedure Template
  • 15-page Client Assets Policy & Procedure Template
  • CASS 10 Resolution Pack (Word & Excel versions)
  • 11-page CASS 11 Overview Document
  • 16-page CASS 11 Debt Management Policy & Procedure Template
  • CASS 11 Resolution Pack (Word & Excel versions)

AREAS COVERED

  • 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 (Word & Excel verisons)
  • Resolution Pack Master Document
  • Appointed Institution
  • Agents (inc AR’s, tied agents & field representatives
  • CASS Employees and Oversight
  • CASS Outsourcing (CASS 10 only)
  • Client
  • Location data for Acknowledgement Letter
  • Executed Agreement
  • Side Letters & Notifications

Key Details

  • Includes policies, templates and resolutions packs for both the CASS 10 and CASS 11 requirements.
  • A mandatory requirement for any regulated business with obligations under the Client Assets Sourcebook.
  • Comprehensive, compliant CASS resolution pack comes in Word and Excel formats for ease of use, customisation and recording.
  • Use the finalised templates to evidence your compliance to the FCA with easy to integrate, user-friendly content and formats.
  • Customisable client money and client assets policy and procedures are included in the manual.

About the CASS Policy Templates & Resolution Pack

The CASS Sourcebook is part of the FCA Handbook and applies to all firms who Know Your Compliance Templateshold 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.

The importance of Client Assets is emphasised further with the FCA’s defining it as one of their Principles for Business. Use our comprehensive CASS templates and CASS RP to ensure that you are complying with the FCA mandatory rules when it comes to handling client monies and assets.

  • Includes policies, templates and resolutions packs for both the CASS 10 and CASS 11 requirements.
  • A mandatory requirement for any regulated business with obligations under the Client Assets Sourcebook.
  • Comprehensive, compliant CASS resolution pack in Word and Excel formats for ease of use, customisation and recording.
  • Use the finalised templates to evidence your compliance to the FCA and demonstrate your commitment to your clients.
  • Customisable CASS 10 policy templates for managing client money and client assets and CASS 11 debt management procedures.

Affordability & Creditworthiness Policy Template IconRegulatory Requirement

Firms handling client money and/or assets are required under the regulations to have a CASS resolution pack.

Affordability & Creditworthiness Policy Template IconCustomise & Comply

Accelerate your CASS compliance with ready-to-use, fully customisable templates, controls and policies.

A Name You Can Trust

Market Leading ComplianceOur team have been developing regulatory templates for 20+ years. We are one of the UK’s leading compliance template providers, with our compliant, professional documents being trusted by thousands of businesses.

Cost Effective Compliance

Cost Effective ComplianceOur customers range from multi-national organisations and public bodies, through to sole traders. We keep our prices low so that our products are affordable for everyone. Quality you can trust at prices you can afford!

WHY CHOOSE US?

  • Our templates & toolkits are used by 6000+ organisations
  • Market leading documents & policies
  • Customisable, easy to use formats
  • Affordable and cost effective
  • Developed by experts
  • Compliant, professional content
  • Suitable for all business types
  • Support when you need it most

Documents Included in the CASS Policy Templates & Resolution Pack

  • CASS Guidance & Instructions
  • 12-page CASS 10 Overview Document
  • 16-page Client Money Policy & Procedure Template
  • 15-page Client Assets Policy & Procedure Template
  • CASS 10 Resolution Pack (Word & Excel versions)
  • 11-page CASS 11 Overview Document
  • 16-page CASS 11 Debt Management Policy & Procedure Template
  • CASS 11 Resolution Pack (Word & Excel versions)

Areas covered in the CASS Manual & Resolution Packs

  • 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 (Provided in both Word & Excel verisons)

  • Resolution Pack Master Document
  • Appointed Institutions
  • Agents (inc AR’s, tied agents & field representatives)
  • CASS Employees and Oversight
  • CASS Outsourcing
  • Clients
  • Location data for Acknowledgement Letters
  • Executed Agreements
  • Side Letters & Notifications

Frequently Asked Questions...

Can The Documents be Customised?

All templates have been developed using the latest version of Microsoft Office. Word and Excel are universally compatible with a large number of document editing software, including OpenOffice and GoogleDocs.

All templates can be corporate branded and are fully customisable. The documents also come with detailed guidance on how to use Microsoft Office to edit the templates and insert your own content where applicable.

What Format are the Documents in?

The templates are developed in Microsoft Office Word and are fully customisable and ready for corporate branding. They are compatible with most text editing software. Checklists and assessment templates are provided in an Excel format.

Are the Documents Suitable for my Business?

All of our templates have been developed using a variety of regulations, standards, laws and codes. We have used the main FCA Handbook to develop much of the manual content, alongside extensive FCA guidance and our own expertise. For any additional supporting templates included with the manual, we have used the relevant regulations and rules to ensure that all templates are compliance and up to date.

All of the mandatory SMCR templates have been included in the toolkit for you to customise and integrate into your business. We have not provided a training session for the conduct rules this is bespoke to each company. However, we have provided an extensive conduct rules training guidance document that enables you to develop and deliver your own training session for this mandatory requirement.

Are the Templates an 'Off the Shelf' Solution?

Every business is different and compliance documents need to reflect that. Whilst our templates and toolkits go a long way toward making you compliant, many of our documents do require some customisation to ensure that they are relevant to you. Our templates provide a strong foundation on which to build your compliance framework. Our extensive template content coupled with your customisations will ensure that you are compliant with the relevant legislation, codes of conduct, standards or regulations

It is important that each policy and procedure accurately reflects exactly what your business does and how it does it. The level of customisation required for each document will depend upon factors such as your size, scope and current compliance program. However, we are always on hand to answer any questions you may have and provide unlimited email support.

How Can I Access My Order?

All materials and templates are available to download immediately after purchase via the website. Once you have completed your payment online, you will be redirected to our order page where you can download your ordered document(s). We also send you an automated confirmation email which contains a copy of your download link.

If you have chosen to make payment by BACS, your order will be placved on hold until we have confirmed receipt of your payment. Once your payment has been verified, we will process your order and send you an automated confirmation email which contains your download link. Our Accounts Team will email you a copy of your VAT receipt after the order has been processed.

Please ensure that you add our email address to your contacts lists and that your email server accepts incoming download links.

Why Should I Buy From Know Your Compliance Limited

At Know Your Compliance Limited we are passionate about regulatory compliance! Our team has over 20 years experience and expertise in regulatory compliance and policy development. Serving a wide range of industries and business types, over 6000 organisations already use our templates and toolkits. We have delivered professional, compliant templates to hundreds of industries; including accountants, tax advisors, education and healthcare sectors, the NHS, Government departments, finance and credit, recruitment, charities, banks, estate agents and thousands of SME’s and sole traders.

We offer a large library of templates for regulatory policies, procedures, checklists, toolkits, manuals and training packages. Utilising Microsoft Office for compatibility and easy customisation, we provide editing and usage guidance with all templates. When paying by credit/debit card, all documents are available to download instantly and come with the first annual update included in the price.

Do You Offer Refunds?

As our materials, packages and templates are downloaded digitally, they cannot be physically returned once purchased. For this reason we do not offer any refunds, however we do provide extensive information about each product on the relevant product page so that you know what you are getting before you buy. Please refer to our Terms and Conditions for further information.

If you have any questions about our templates, toolkits or training materials before or after purchase, please contact us at info@knowyourcompliance.com and we will be only too happy to assist you.

CASS Manual Sample Pages

The CASS Pack contains 2 x Excel resolution packs and 2 x CASS manuals. Click the images to see some sample pages.

*NOTE: These are random sample pages from the entire toolkit so the content may not follow on. 

Looking for other FCA templates?

Whether your are going through your FCA application or you are already authorised, we can help! We specialise in FCA policy templates and have over 6000 organisations using our business documents. The team at Know Your Compliance Limited have worked in the regulated industry for nearly 20 years. Some of the UK’s leading public and private sector organisations and bodies meet their compliance obligations with the help of our products. View All FCA Products.