FCA PS · FCA
PS14/9: Review of the client assets regime for investment business
Published
Read the official text on the FCA website(opens in a new tab)AI-generated Summary
Final changes to the client money and custody asset rules for about 1,500 investment firms, improving segregation, record keeping and reconciliations, while most proposed changes to the client money distribution rules were not taken forward.
Written from the Regulation Tomorrow post (Norton Rose Fulbright) that links this paper, not from the paper itself.
Details
| Reference | PS14/9 |
|---|---|
| Issuer | FCA |
| Published | Date pending: it is added once checked on the FCA’s page |
Provisions it relates to
Not linked to a provision yet.
FCA Handbook
Handbook provisions the Handbook lists against this paper (only those linked to MiFID II or MiFIR material are shown).
- CASS 3.2.4G · Application
- CASS 6.3.1R · Depositing safe custody assets with third parties
- CASS 6.3.4R · Depositing safe custody assets with third parties
- CASS 6.3.4A-1 · Depositing safe custody assets with third parties
- CASS 6.3.6AR · Third-party custody agreements
- CASS 6.6.2R · Records and accounts
- CASS 6.6.3R · Records and accounts
- CASS 7.11.1R · Title transfer collateral arrangements
- CASS 7.13.3R · Depositing client money
- CASS 7.13.8R · Selection, appointment and review of third parties
- CASS 7.13.10R · Selection, appointment and review of third parties
- CASS 7.13.12R · Client bank accounts
- CASS 7.13.14AR · Client bank accounts
- CASS 7.13.20R · Diversification of client money
- CASS 7.13.21R · Diversification of client money
- CASS 7.13.21AR · Diversification of client money
- CASS 7.13.22R · Diversification of client money
- CASS 7.13.26R · Qualifying money market funds
- CASS 7.13.28R · Qualifying money market funds
- SUP 6.4.22G · When will the relevant regulator grant an application for cancellation of permission?
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