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UK · FCA Handbook sourcebook

CASSCASS Client Assets

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Only the provisions of CASS that are linked to MiFID II or MiFIR material are listed here. The full sourcebook is on the FCA Handbook site.

Linked provisions

  • CASS 1A.3.1R
    CASS Client Assets · in force from 9 Dec 2019
  • CASS 1A.3.1AR · The senior managers regime and the certification regime
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 1A.3.2AR · The senior managers regime and the certification regime
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 3.2.4G · Application
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 6.1.4R · Business in the name of the firm
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.1.6R · Title transfer collateral arrangements
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.1.6DR · Title transfer collateral arrangements
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.2.1R · Requirement to protect clients' safe custody assets
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.2.2R · Requirement to have adequate organisational arrangements
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.3.1R · Depositing safe custody assets with third parties
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.3.4R · Depositing safe custody assets with third parties
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.3.4A-1 · Depositing safe custody assets with third parties
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.3.6AR · Third-party custody agreements
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.4.1R · Non-retail clients
    CASS Client Assets · in force from 25 Sept 2026
  • CASS 6.4.1BG · Non-retail clients
    CASS Client Assets · in force from 25 Sept 2026
  • CASS 6.4.1CR · All clients
    CASS Client Assets · in force from 25 Sept 2026
  • CASS 6.4.2AR · All clients
    CASS Client Assets · in force from 25 Sept 2026
  • CASS 6.4.2BG · All clients
    CASS Client Assets · in force from 26 Jun 2026
  • CASS 6.4.3R · All clients
    CASS Client Assets · in force from 25 Sept 2026
  • CASS 6.6.2R · Records and accounts
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.6.3R · Records and accounts
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 6.6.34R · External custody reconciliations
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.10.16R · Credit institutions and approved banks
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.11.1R · Title transfer collateral arrangements
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.11.4AR · Title transfer collateral arrangements
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.12.1R · Requirement to protect client money
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.12.2R · Requirement to have adequate organisational arrangements
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.3R · Depositing client money
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.8R · Selection, appointment and review of third parties
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.10R · Selection, appointment and review of third parties
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.12R · Client bank accounts
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.14AR · Client bank accounts
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 7.13.20R · Diversification of client money
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.21R · Diversification of client money
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.21AR · Diversification of client money
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.22R · Diversification of client money
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.26R · Qualifying money market funds
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.13.28R · Qualifying money market funds
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.15.2R
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.15.3R
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 7.15.20R · External client money reconciliations
    CASS Client Assets · in force from 3 Jan 2018
  • CASS 9.4.2AR
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 9.4.2BR
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 9.4.4G
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 9.5.2G
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 9.5.4AR
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 9.5.4CG
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 9.5.9G
    CASS Client Assets · in force from 23 Oct 2025
  • CASS 10.1.7R · General provisions
    CASS Client Assets · in force from 3 Jan 2018

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