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

Product Information

MIFIDPRU TP 6 Application of criteria to be classified as an SNI MIFIDPRU investment firm: transitional after having carried out an internal client money reconciliation in accordance with CASS 13.10.5R it will be unable to, or materially fails to, pay any shortfall into (or withdraw any excess from) a client bank account so that the firm is unable to comply with CASS 13.10.15R; or BENCH 2.1 Parts of the Handbook applicable to regulated benchmark administrators and benchmark contributors COBS 19.8 Disclosure of transaction costs and administration charges in connection with workplace pension schemes FEES TP 8 Transitional provisions relating to FEES 3 Annex 9R and FEES 4.3.6R taking effect in 2013/14

of any letter of credit or unconditional guarantee provided by an approved bank and held on the terms of the the firm notifies each relevant client and has, in relation to a consumer, 5 a client agreement, 4 or terms of business which adequately explain

PERG 10 Annex 1 Flow chart showing the steps to be considered in deciding whether authorisation is needed. FEES 4 Annex 10 Periodic fees for MTF operators payable in relation to the period 1 April 2020 to 31 March 2021 [deleted] MIFIDPRU 4 Annex 2R Application under MIFIDPRU 4.12.4R for permission to use an advanced internal market risk model SUP 15 Annex 12D Form NOT004 Notification that the fraud rate exceeds the reference fraud rate under SCA-RTS article 20 MCOB 9 Annex 2 The illustration: table of contents, prescribed text and prescribed section headings and sub-headings

MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity Firms should review their client assets arrangements in the specific areas set out in the letters, considering the current economic environment. Where deficiencies are identified, firms should take immediate action to rectify them. We also expect firms to notify us of any material concerns identified while reviewing the adequacy of their client assets arrangements. FEES TP 7 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2013/14 The CMAR gives us an overview of your firm’s client money and safe custody assets (client assets) positions and holdings, as well as a view of the trends in the industry. This enables us to make regulatory interventions in relation to client assets on a timely, firm-specific or thematic basis.paragraph CASS 13.2.5G explains how CASS 13.2.3R fits into the senior managers and certification regime. This paragraph does not deal with a firm that is a PRA-authorised person.

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions) PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance SUP 10A Annex 7 Form D: Notification of changes in personal information or application details and conduct breaches/disciplinary action related to conduct [deleted] SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved person regime [deleted]PERG 10 Annex 5 Table summarising regulatory position concerning financial promotions by trustees, employers and affinity groups. A firm must pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, fair and not misleading. ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties COBS 11.7A Personal account dealing relating to MiFID, equivalent third country or optional exemption business SYSC 25 Senior managers and certification regime: Management responsibilities maps and handover procedures and material