The Client Money and Assets (CASS) Blueprint: For CASS 6 & 7 Firms

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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy after having carried out an external client money reconciliation in accordance with CASS 13.10.17R it will be unable to, or materially fails to, identify the reason for any discrepancies and correct them in accordance with CASS 13.10.19R; or

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?If your business model does involve holding client assets, you should ensure that you have permission to do this. You must then ensure that you are fully complying with your obligations under CASS. Are there other financial activities which involve CASS obligations? FEES 3 Annex 2 Application and notification fees payable in relation to collective investment schemes, LTIFs, money market funds and AIFs marketed in the UK SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

GEN TP 6 Transitional provisions applying to GEN only - status disclosure for temporary permission firmsFEES TP 3 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2010/11 MIFIDPRU 5 Annex 2 Notifications under MIFIDPRU 5.11.2R in respect of the exemption from K-CON requirement for commodity and emission allowance dealers SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements These letters are relevant for all firms which hold client money and/or custody assets. Firms should consider carefully which sections apply to their arrangements.

satisfy some or all of the requirements of the type of written agreement described in CASS 5.2.3 R 1. It is desirable that an intermediary should,

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SUP 16 Annex 49A General insurance pricing information report forms (REP 021, REP021a, REP021b, REP021c, REP021d and REP021e)