FCA and PRA licenses (authorisations) and ongoing compliance support, training, recruitment. Contact us 7 days a week, 8am-11pm. Free consultations. Phone / Whatsapp: +4478 3368 4449  Email: hirett.co.uk@gmail.com

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: