CASS - Complyport UK Consultancy Service

FCA and CASS Enforcement Digest

The Client Assets Sourcebook (CASS), governed by the Financial Conduct Authority (FCA), stands as a safeguard against the financial turmoil that has historically fallen onto institutions and clients alike. The […] [...]

The FCA’s CASS Expectations and How to Meet The Requirements

Complyport has noted growing attention from the Financial Conduct Authority (“FCA”) and UK financial firms on compliance with the Client Assets Sourcebook (“CASS”) rules. The Regulator is focused on ensuring […] [...]

FCA publishes draft rules on how it will regulate Claims Management Companies

The Financial Conduct Authority (“FCA”) has published draft rules outlining how it will regulate Claims Management Companies (“CMCs”) when regulation passes to it on 1 April 2019. At the same […] [...]

Client Money: Loan-Based Crowdfunding

Of Relevance to: Firms advising on P2P agreements; all firms undertaking ‘advising on investments Client Money: Loan-Based Crowdfunding The proposed changes to CASS to allow firms to hold money in […] [...]

Client Money and Custody Rules

The FCA has recently completed a review of 24 firms for their compliance with CASS. Although the firms reviewed operated in the CFD and spread betting arena, all firms subject […] [...]

CASS changes

A reminder that the second phase of changes to the CASS regime came into being on 1 December – see Regulatory Roundup 56. Policy Statement PS14/9 (‘Review of the client […] [...]

CASS Proposals

Following the proposed changes to CASS 1A (classification and oversight) and CASS 8 (mandates), as mentioned in Regulatory Roundup 43, and the introduction of the CASS resolution pack concept in […] [...]

CASS Update

The FSA is consulting (CP12/15) on changes in two areas of CASS: firm classification and oversight (CASS 1A) and mandates (CASS 8). The changes to CASS 1A will include clarification […] [...]

CASS Resolution Pack

Last August the FSA published a consultation paper (CP11/16) on the proposal for firms that hold client money and/or client assets to produce a CASS resolution pack (CRP) – see […] [...]

CASS & a New Operational Oversight Function

There are big changes to CASS coming up which include a new control function and the need to complete a Client Money and Asset Return (‘CMAR’), As mentioned in Regulatory […] [...]

CASS Consultation Paper

The FSA has released Consultation paper CP10/9 – “Enhancing the Client Assets Sourcebook”. Proposals include greater transparency requirements by UK authorised prime brokers (‘PBs’) in respect of re-hypothecation provisions by […] [...]

Tag: CASS

FCA and CASS Enforcement Digest

The FCA’s CASS Expectations and How to Meet The Requirements

FCA publishes draft rules on how it will regulate Claims Management Companies

Client Money: Loan-Based Crowdfunding

Client Money and Custody Rules

CASS changes

CASS Proposals

CASS Update

CASS Resolution Pack

CASS & a New Operational Oversight Function

CASS Consultation Paper

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