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

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MCOB 9 Annex 2 The illustration: table of contents, prescribed text and prescribed section headings and sub-headings EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

SUP 16 Annex 9AG Guidance notes for completion of annual questionnaire for authorised professional firms in SUP 16 Annex 9R MIFIDPRU 1 Annex 2 Notification under MIFIDPRU 1.2.7R(2) of the use of an end-of-day value for CMH as a result of a qualifying error

FEES App 4 Fees payable by cryptoasset businesses registered under the Money Laundering Regulations Some firms subject to CASS 6 have reported difficulties reconciling physical safe custody assets as they cannot access the location where the assets are held. EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)

We refer to the following [current/deposit account[s]] which [name of firm], regulated by the Financial Conduct Authority (Firm Reference Number [FRN]), (“us”, “we” or “our”) has opened or will open with [name of approved bank] (“you” or “your”): PERG 10 Annex 2 Flow chart showing the additional steps to be considered by trustees of occupational pension schemes and other persons in deciding whether authorisation is needed for managing the assets of such a scheme

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LR 14 Annex 1 Data on the diversity of the individuals on a listed company’s board and in its executive management GEN TP 4 Transitional Provision on early compliance with the Insurance Distribution Directive applying across the Handbook [deleted] SUP 15 Annex 13D Form NOT005 Notification that there are problems with a dedicated interface under SCA-RTS article 33(3) the case of (b)) the agreement required by (d) expressly provides for the firm to act as agent of the insurance undertaking for the purpose of FEES TP 19 Transitional provisions relating to statements provided by participant firms before 1 April 2019 with respect to the FSCS 2019/20 financial year

Dear CEO letter: Adequate client assets arrangements GII (for firms holding client money relating to insurance distribution).CONC TP 6 Transitional provisions for financial promotions and communications in relation to catalogues etc. it will be unable to or materially fails to conduct an internal client money reconciliation in compliance with CASS 13.10.5R; or Your CASS firm type (small, medium or large) is based on the size of your client money or custody asset holdings (or both). the safeguarding and administration of assets (without arranging) (in the course of business that is not MiFID business); 6 SYSC 25 Senior managers and certification regime: Management responsibilities maps and handover procedures and material

in the income or gains arising from the acquisition or disposal of designated investments. Withdrawal of commission Apart from the solutions, there are other NCERT resources for the students, which will help them prepare better for the exam. These resources are: NCERT Books for Class 6 NCERT Book Class 6 MIFIDPRU 1 Annex 4 Notification under MIFIDPRU 1.2.16R that a firm no longer qualifies to be classified as an SNI investment firm

Dear CEO letter: Adequate client assets arrangements (for firms holding client assets relating to investment business, debt management or claims management). RPPD link PDF The Responsibilities of Providers and Distributors for the Fair Treatment of Customers EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling COMP 4.3 Exceptions: Circumstances where a person coming within COMP 4.2.2R may receive compensation