Home FCA Handbook CASS CASS 10A CASS 10A.3 Existing records forming part of the CASS resolution pack
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CASS 10A.3 Existing records forming part of the CASS resolution pack

07/05/2026R
  1. A safeguarding institution must include, as applicable, within its CASS resolution pack:
  2. (1) the records required under:

  3. (a) CASS 15.4.11R (Appointment of a third party to manage relevant assets) and CASS 15.6.7(Selection and appointment of third parties);

  4. (b) CASS 15.8.3R and CASS 15.8.8R(Records and accounts); and

  5. (c) CASS 15.8.9R(Records and accounts);

  6. (2) the policies and procedures referred to in CASS 15.8.1R(Policies and procedures); and
  7. (3) the standard terms and conditions incorporated into its contracts with clients.
07/05/2026G

CASS 10.3.1R does not change the record keeping requirements of the rules referred to therein.