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

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investment falls below the minimum set out in the Table, the firm must dispose of the investment as For a copy of the questions we ask in the CMAR and the accompanying guidance, please refer to SUP 16.14 and SUP 16 Annex 29. Completing a CMAR e) you will title, or have titled, the Client Bank Account as stated above and that such title is different to the title of any other account containing money that belongs to us or to any third party; and

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement actionOur client assets regime is designed to protect consumers’ money and custody assets. Market participants and consumers should have confidence that their client assets will be protected, including in the event of insolvency. A firm must use a separate row in data field 13 of its CMAR to report on any aggregate positive balance of client money held with a particular bank which, as at the end of the reporting period for the CMAR: the failure of a third party to whom money has been transferred out of any other client bank account in accordance with CASS 5.5.34 R; FEES TP 7 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2013/14 SYSC 24 Annex 1 Which FCA-prescribed senior management responsibilities apply to which kind of firm

Your firm must make an annual notification about the money and assets you hold to identify if you are small, medium or large. This will enable you to see what your firm’s classification will be (see CASS 1A.2). SUP 12 Annex 2 Guidance on information firms should take reasonable steps to obtain to verify and to assess the fitness and propriety of an appointed representative (other than an introducer appointed representative). See SUP 12.4.4 G (1). MIFIDPRU 7 Annex 3 Notification under MIFIDPRU 7.1 and SYSC 19G.1 on the requirements to establish certain committees or the additional remuneration requirements MIPRU 5 Insurance distributors and home finance providers using insurance distribution or home finance mediation services consistent basis to the extent required to meet any shortfall of the client money resource compared with the firm's client money requirement; andFINMAR 2 Annex 1 List of directions on how notifications to use the market maker exemption or authorised primary dealer exemption should be made also give effect to the requirement in article 10.6 8 of the IDD 8 that all necessary measures should

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme FEES 3 Annex 2 Application and notification fees payable in relation to collective investment schemes, LTIFs, money market funds and AIFs marketed in the UK FEES 4 Annex 4 Periodic fees in relation to collective investment schemes, AIFs marketed in the UK, small registered UK AIFMs and money market funds payable for the period 1 April 2023 to 31 March 2024 is no further modification of the rules in the chapters referred to in (4) for activities carried on for eligible counterparties. Such clients are treated in the same way as other professional clients for the purposes of these rules. where the client has not responded within 28 days of the communication under sub-paragraph (i), attempting to communicate the information in (i) to the client on at least one further occasion by any means other than that used in sub-paragraph (i) including by post, electronic mail, telephone or media advertisement; andThe firm may instead choose to allocate the function in CASS 13.2.3R to someone who is not an SMF manager. EG 19.16 Transfer of Funds (Information on the Payer) Regulations 2007 (The Transfer of Funds Regulations) [deleted]

MIFIDPRU 8 Annex 2R Disclosure template for information required under MIFIDPRU 8.7.1R in respect of voting rights ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers SUP 12 Annex 1 Guidance on steps a firm should take in assessing the financial position of an appointed representative (other than an introducer appointed representative). See SUP 12.4.3 G These specific requirements in CASS relate to fundamental components of the regime and firms should continue to make any notifications required under CASS. CASS firm classification EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

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COBS 11.7A Personal account dealing relating to MiFID, equivalent third country or optional exemption business MIFIDPRU 4 Annex 1R Application under MIFIDPRU 4.11.9R – permission to exclude hedges from article 352 of the UK CRR