CASS Sch 1 Record keeping requirements

Five years from the later of:

(1) the date it was created; and

(2) if it has been modified since the date in (1), the date it was most recently modified

(1) Subject to (2), indefinitely.

(2) For any decision which is superseded by a subsequent decision, five years from the subsequent decision (with (1) applying to the subsequent decision).

(i) The safe custody asset that was disposed of;

(ii) the value of the consideration received for the safe custody asset disposed of;

(iii) the name and contact details of the client to whom the safe custody asset was allocated, according to the firm’s records at the time of making the record; and

(iv) efforts applied by the firm to determine the client’s correct contact details under CASS 6.7.4E(1)(a) or, if being relied on, for the purposes of CASS 6.2.10R(4).

(i) For each of the firm’s business lines, the maximum proportion of the client money held by the firm under CASS 7.13.3R(1) to (3) in respect of the business line that the firm considers would be appropriate to hold in such accounts;

(ii) the firm’s rationale for reaching its conclusion(s) under (i); and

(iii) the means by which the firm will comply with CASS 7.13.14AR(2)(a), having regard to CASS 7.13.14CE.

Five years after the earlier of:

(1) the date on which the version of the policy was superseded; and

(2) the date on which the firm ceased to use client bank accounts under CASS 7.13.13R(3A)(b).

Five years from the later of:

(1) the date it was created; and

(2) if it has been modified since the date in (1), the date it was most recently modified

(1) Subject to (2), indefinitely.

(2) For any decision which is superseded by a subsequent decision, five years from the subsequent decision (with (1) applying to the subsequent decision).

(a) The name of the sub-pool

(b) The identity of the net margined omnibus account to which the sub-pool relates;

(c) Each client bank account and each client transaction account maintained for the sub-pool;

(d) the applicable sub-pool disclosure document for the sub-pool.

(i) The amount of the balance of client money;

(ii) the name and contact details of any client to whom that balance was allocated according to the firm’s records at the time of making the record; and

(iii) efforts applied by the firm to determine the client’s correct contact details under CASS 7A.2.6CE(1)(a) or, if being relied on, for the purposes of CASS 7.11.50R(3).