Related provisions for CASS 8.3.1

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CASS 8.3.2RRP
The records and internal controls required by CASS 8.3.1 R must include:(1) an up-to-date list of each mandate that the firm has obtained, including a record of any conditions placed by the client or the firm's management on the use of the mandate;(2) a record of each transaction entered into under each mandate that the firm has;(3) internal controls to ensure that each transaction entered into under each mandate that the firm has is in accordance with any conditions placed by
CASS 8.1.4GRP
The mandate rules require3firms to3 establish and maintain records and internal controls to prevent the misuse of a mandate.333