Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

CASS 10.3 Existing records forming part of the CASS resolution pack

CASS 10.3.1RRP

A firm must include, as applicable, within its CASS resolution pack the records required under:

  1. (1)

    CASS 6.3.2A R1 (safe custody assets: appropriateness of the firm’s selection of a third party);

    1
  2. (1A)

    CASS 6.3.6AR (third party rights over client assets);3

  3. (2)

    CASS 6.4.3 R (firm’s use of safe custody assets);

  4. (3)

    CASS 6.6.2 R and CASS 6.6.3 R (safe custody assets held for each client);1

    1
  5. (4)

    CASS 6.6.6 R1 (client agreements: firm’s right to use);

    1
  6. (4A)

    CASS 6.6.8 R (internal custody record checks, physical asset reconciliations and external custody reconciliations);1

  7. (5)

    [deleted]2

    11
  8. (5A)

    SYSC 6.1.1 R (policy and procedures for carrying out record checks and reconciliations);1

  9. (5B)

    CASS 7.13.14BR (policy for use of client bank accounts under CASS 7.13.13R(3A)(b));4

  10. (6)

    CASS 7.13.25 R1 (client money: appropriateness of the firm’s selection of a third party);

    1
  11. (7)

    CASS 7.15.2 R, CASS 7.15.3 R and CASS 7.15.5 R (client money held for each client);1

    1
  12. (7A)

    CASS 7.15.7 R (internal client money reconciliations and external client money reconciliations);1

  13. (10)

    COBS 3.8.2 R (2)(a) and COBS 3.8.2 R (2)(c) (client categorisation); and

  14. (11)

    COBS 8.1.4 R or COBS 8A.1.9R3 (retail and professional client agreements).2

    1
CASS 10.3.2GRP

CASS 10.3.1 R does not change the record keeping requirements of the rules referred to therein.