CASS 10 Templates | Resolution Pack Word Templates | CASS Outsourcing | FCA Handbook | Template for FCA Applications and Authorised Firms – FCA Authorisations and Compliance

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CASS 10 Templates

1 Appointed Institutions

*1. BASIC INFORMATION*
*Name:*		*Type:*
Address:		Point of Contact:
POC Telephone:		POC Email:
Date Appointed:		Appointed By:
*2. FUNCTION SUMMARY*
*Which type/s of placement is this institution used for?*
Placement of Client Money	Holding Client Money			The Deposit of Safe Custody Assets
YES/NO	YES/NO			YES/NO
*Numbers of all accounts opened with Institution:*
*Provide a summary of the institution’s function/s:*
*3. DUE DILIGENCE & REVIEWS*
Initial due diligence assessment date:			Last periodic selection review date:
*Provide a summary of the grounds upon which the firm satisfied itself as to the appropriateness of its selection and appointment:*
Are the selection & appropriateness assessment and subsequent reviews attached?				YES/NO
If reviews are not attached to this record, insert the location of the documents:
*4. DOCUMENTATION*
Are this institution’s agreements, letters and supporting documents attached?				YES/NO
If documents are not attached to this record, insert the location of the documents:
Are all relevant notifications and acknowledgements attached?				YES/NO
If documents are not attached to this record, insert the location of the documents:
*Provide information for the retrieval of any documents/information where applicable:*
Date this document was last reviewed:
Document reviewed by:

2 Appointed Agents[Inc appointed representatives, tied agents, field representatives or other agents acting its capacity as the firm’s agent]

*1. BASIC INFORMATION*
Name:	Type:
Address:	Point of Contact:
POC Telephone:	POC Email:
Date Appointed:	Appointed By:
*2. OPERATIONAL FUNCTION*
Is the agent responsible for Client Money?			YES/NO
Is the agent responsible for Client Assets?			YES/NO
*Provide a summary of the agent’s function/s:*
*3. DUE DILIGENCE & REVIEWS*
Initial due diligence assessment date:		Last periodic selection review date:
*Provide a summary of the grounds upon which the firm satisfied itself as to the appropriateness of its selection and appointment:*
Are the selection & appropriateness assessment and subsequent reviews attached?			YES/NO
If reviews are not attached to this record, insert the location of the documents:
*4. DOCUMENTATION*
Are this agent’s agreements, letters and supporting documents attached?			YES/NO
If documents are not attached to this record, insert the location of the documents:
Are all relevant notifications and acknowledgements attached?			YES/NO
If documents are not attached to this record, insert the location of the documents:
*Provide information for the retrieval of any documents/information where applicable:*
Date this document was last reviewed:
Document reviewed by:

3 CASS Employees & Oversight

*1. EMPLOYEE INFORMATION*
Name:	Position:
Home Address:	Office Address:
Home Telephone:	Office Telephone:
Office Email:	Department:
*2. OPERATIONAL FUNCTIONS*
Is the employee a Director?		YES/NO
Is the employee a Senior Manager?		YES/NO
Has the employee been assigned the CF10a CASS Oversight Function?		YES/NO
Has the employee been assigned the CASS Prescribed Responsibility (PR)(z)?		YES/NO
*Provide details of the CASS obligations, prescribed responsibilities and/or operational functions allocated:*
Date this document was last reviewed:
Document reviewed by:

4 CASS Outsourcing

*1. BASIC INFORMATION*
Name:	Point of Contact:
Address:
POC Telephone:	POC Email:
*2. GROUP MEMBERS*
Is the company a group member?			YES/NO
*If yes complete the below, otherwise go straight to section 3*
Type of Entity:
Jurisdiction of Incorporation:
Related Operational Functions:
*3. THIRD PARTIES*
Is the company a third-party non-group member?			YES/NO
*If yes complete the below, otherwise go straight to section 4*
Describe how access to CASS information is obtained:
Explain how to effect transfers of client money and/or assets:
*3. OPERATIONAL FUNCTIONS*
Describe which operational functions are performed in relation to:
Client Money	Client Assets

*3. DUE DILIGENCE & REVIEWS*
Initial due diligence assessment date:		Last periodic selection review date:
*Provide a summary of the grounds upon which the firm satisfied itself as to the appropriateness of its selection and appointment:*
Are the selection & appropriateness assessment and subsequent reviews attached?	YES/NO
If reviews are not attached to this record, insert the location of the documents:
*4. DOCUMENTATION*
Are this company’s agreements, letters and supporting documents attached?	YES/NO
If documents are not attached to this record, insert the location of the documents:
Are all relevant notifications and acknowledgements attached?	YES/NO
If documents are not attached to this record, insert the location of the documents:
*Provide information for the retrieval of any documents/information where applicable:*
Date this document was last reviewed:
Document reviewed by:

5 Clients

*1. COMPANY INFORMATION*
Name:	Categorisation:
Address:	Point of Contact:
POC Telephone:	POC Email:
*2. SAFE CUSTODY ASSETS*
Does the firm hold/place Safe Custody Assets on behalf of this client?			YES/NO
*If yes complete the below, otherwise go straight to section 3*
Has the client consented to using the Safe Custody Assets?			YES/NO
Number of Safe Custody Assets used:
Location of Client Agreement with right to use:
Last Internal Custody Record Check:		Last External Custody Reconciliation:
Actions taken during process:		Actions taken during process:
Discrepancies & corrective actions taken:		Discrepancies & corrective actions taken:
*3. CLIENT MONEY*
Does the firm hold/place Client Money on behalf of this client?			YES/NO
*If yes complete the below, otherwise go straight to section 4*
Last Internal Client Money Reconciliation:		Last External Client Money Reconciliation:
Actions taken during process:		Actions taken during process:
Discrepancies & corrective actions taken:		Discrepancies & corrective actions taken:
*4. DOCUMENTATION*
Are all client agreements, letters and supporting documents attached?			YES/NO
If documents are not attached to this record, insert the location of the documents:
Are all relevant client notifications and acknowledgements attached?			YES/NO
If documents are not attached to this record, insert the location of the documents:
*Provide information for the retrieval of any documents/information where applicable:*
Date this document was last reviewed:
Document reviewed by: