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CASS 9.1 Application


1This chapter applies as follows:2

  1. (1)

    CASS 9.2 and CASS 9.3 apply to a prime brokerage firm 2to which CASS 6 (Custody rules) applies;

  2. (2)

    subject to paragraphs4 (3) and (4), CASS 9.4 and CASS 9.5 apply 2to a firm to which either or both CASS 6 (Custody rules) and CASS 7 (Client money rules) applies; 2

  3. (3)

    2CASS 9.4 and CASS 9.5 do 2not apply to a firm which only arranges safeguarding and administration of assets; and4

  4. (4)

    2for a firm to which CASS 7 (client money rules) applies as well as either or both of CASS 5 (Client money: insurance distribution5 activity) and CASS 11 (Debt management client money chapter) apply, this chapter does not apply to client money that a firm holds in accordance with CASS 5 or CASS 11.