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FCA Handbook
CASS
CASS Sch 2 Notification requirements

CASS Sch 2 Notification requirements

CASS Sch 2.1G14/01/2005

Handbook reference	Matter to be notified	Contents of notification	Trigger event	Time allowed
CASS 2.6.14 R (1)	Non-compliance with reconciliation requirements in CASS 2.6.2 R, CASS 2.6.4 R, CASS 2.6.6 R, CASS 2.6.8 R, CASS 2.6.10 R	Reason for Non-compliance	Non-compliance	Immediately
CASS 2.6.14 R (2)	Non-compliance of reconciliation requirements in CASS 2.6.11 R	Reason for Non-compliance once reconciliation carried out	Non-compliance	Immediately
CASS 4.3.64 R	Failure of a third party with which money is held — ie: bank, intermediate broker, settlement agent or OTC counterparty or other entity with which it has placed or to which it has passed client money	Full details	When firm becomes aware of the failure of the entity	Immediately
CASS 4.3.64 R	Failure of a third party with which money is held — ie: bank, intermediate broker, settlement agent or OTC counterparty or other entity with which it has placed or to which it has passed client money	Intentions regarding making good any shortfall that has arisen or may arise, and of the amounts involved	Failure of third party with which money is held	As soon as reasonably practical
CASS 4.3.87 R	Daily calculation required by CASS 4.3.66 R or CASS 4.3.67 R	Inability to perform daily calculation	Inability to perform daily calculation	Immediately
CASS 4.3.88 R	Daily calculation required by CASS 4.3.66 R or CASS 4.3.67 R	Inability to make good any shortfall identified by daily calculation	Inability to make good any shortfall identified by close of business on the day of calculation	Immediately
CASS 4.3.97 R	Requirements detailed in CASS 4.3.89 R, CASS 4.3.91 R, CASS 4.3.92 R, CASS 4.3.94 R and CASS 4.3.95 R.	Inability to comply with any of the requirements	Inability to comply with any of the requirements	As soon as possible
CASS 4.3.110 R	LME bond arrangements	Issue of an individual letter of credit issued by the firm	Upon issue of an individual letter of credit under an LME bond arrangement	Immediately
CASS 4.4.33 R (see CASS 4.3.64 R)	Failure of a third party with which money is held — ie: bank, intermediate broker, settlement agent or OTC counterparty or other entity with which it has placed or to which it has passed client money	Full details	When the firm becomes aware of the failure of the entity	Immediately
CASS 4.4.33 R (see CASS 4.3.64 R)	Failure of a third party with which money is held — i.e. bank, intermediate broker, settlement agent or OTC counterparty	Intentions regarding making good any shortfall that has arisen or may arise, and of the amounts involved	Upon first delegation of regulated activity	As soon as reasonably practical
CASS 5.5.84 R2	Failure of bank, broker or settlement agent 2	Full details including whether it intends to make good any shortfall that may have arisen in the amounts involved2	As soon as the firm becomes aware2	Immediately2
CASS 5.5.84 R2	Inability to perform the calculation required by CASS 5.5.84 R2	Inability to perform the calculation2	Inability to perform the calculation2	Immediately2
CASS 5.5.84 R2	Inability to make good any shortfall identified by CASS 5.5.84 R2	Inability to make good any shortfall in client money 2	Inability to make good any shortfall 2	Immediately2
CASS 5.5.84 R2	Inability to comply with the requirements in CASS 5.5.84 R; CASS 5.5.84 R; CASS 5.5.84 R; CASS 5.5.84 R; CASS 5.5.84 R2	Inability to comply with the requirements of the rules listed2	Inability to comply with the requirements of the rules listed2	As soon as reasonably practicable2