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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);

  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

  5. (4)

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

  6. (4A)

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

  7. (5)


  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);

  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

  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

CASS 10.3.2GRP

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