In the previous article, Custody 101 C, we commenced the review of the various things that can happen during the regular course of holding your clients’ securities under custody. That entire article dealt with financial activities; income and capital payments related to the securities. This article will review various regular events that can take place […]
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April 23rd, 2018
by Torsten Krebs
Categories: Articles | Client Money | Non-cleared Derivatives | OTC Derivatives |
Tags: Custody 101, Custody Law, Custody Rules, Safe Custody Assets
June 23rd, 2014
by Michael Beaton
Categories: Blog | CASS | CASS Resolution Pack (CASS RP) | Financial Conduct Authority (FCA) |
Tags: CASS Resolution Pack, CASS RP, Client Assets, Client Money, PS14/9, Review of Client Assets Regime, Safe Custody AssetsOn 10 June 2014, following its original July 2013 consultation paper[1] the FCA published its long-awaited policy statement and accompanying guidance note detailing changes to the client assets regime in the UK. The policy statement represents a material rewrite of the CASS regime in the UK. The most significant amendments are summarised here. A number […]
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