This page includes links to all our articles on the Client Asset Sourcebook (CASS) and Safeguarding and aims to break the key areas of CASS into bite-sized, plain-English explanations.
Navigate to each section of our FCA Handbook Guide:
- CASS 7 – Investment Firms
- CASS 6 – Custody Assets
- CASS 5 – Mortgage & General Insurance Firms
- Other Cass Sections
- Other FCA Handbook Considerations
CASS 7 – Investment Firms
Introduction & 7.10 Application + 7.12 Organisational Summary
7.11 TTCA & DVP, General outline and Allocated/unclaimed
7.13 Segregation – Normal or Alternative Approach
7.15 – 7.16 Client Money reconciliations – overview
7.15 – 7.16 Client Money reconciliations – Detail
7.17 – 7.19 Other Rules
7.14 Client Money held be a third party
CASS 6 – Custody Assets
Introduction & 6.1 Application
6.2 Holding Client Assets
6.3 & 6.4 Third Parties and use of assets
6.6.1 – 6.6.9 Record Keeping
6.6.10 – 6.6.58 Custody Asset Reconciliations
5.6 Pooling Events and 6.7 Treatment after failure
CASS 5 – Mortgage & General Insurance Firms
Introduction & 5.1 Application
Risk transfer & 5.2 Holding money as an agent
5.3 – 5.4 Statutory and Non-statutory Trusts
5.5.1 – 5.5.17 Segregation
Appointed Reps and other agents & 5.5.18 – 5.5.25
5.5.26 – 5.5.36 Entitlements, Interest and other payments
5.5.37 – 5.5.61 Client bank accounts
5.5.62 – 5.5.84 Client Money Reconciliations
5.6 Pooling events / 6.7 Treatment after failure
Other CASS Sections
Other FCA Handbook Considerations
Please let us know if there are any articles you think would be useful to include or if you would like to discuss any of these areas with us.