Licence or regulatory framework
FCA Client Assets Sourcebook (CASS 7)CASS-7
Detailed rules in the FCA Handbook requiring firms to protect client money and assets by holding them in segregated statutory trust accounts at credit institutions.
Updated
Coverage of FCA Client Assets Sourcebook (CASS 7)
8 articles
CASS & Market Conduct
CASS 7 Client Money Daily Reconciliation — Conduct Risk Indicator: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of cass 7 client money daily reconciliation focusing on conduct risk indicator. Covers statutory register tie-out (CASS-7), 15.8 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
CASS & Market Conduct
MiFID RTS 27 Execution Quality — Prudential Submission Calendar: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of mifid rts 27 execution quality focusing on prudential submission calendar. Covers statutory register tie-out (CASS-7), 5.0 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
CASS & Market Conduct
FCA CASS 7 Client Money Rules: Internal vs. External Daily Reconciliations and Shortfall Funding
How UK financial houses eliminate the risk of client money pooling breaches by executing daily dual-track reconciliations and maintaining dedicated trust letters.
CASS & Market Conduct
Appointed Representative Oversight Audit — Dispute Resolution Forum Map: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of appointed representative oversight audit focusing on dispute resolution forum map. Covers statutory register tie-out (CASS-7), 13.1 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
CASS & Market Conduct
PRIIPs KID Cost Disclosure — Register Verification Workflow: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of priips kid cost disclosure focusing on register verification workflow. Covers statutory register tie-out (CASS-7), 11.1 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
CASS & Market Conduct
Short Selling Disclosure Threshold — Companies House Filing Match: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of short selling disclosure threshold focusing on companies house filing match. Covers statutory register tie-out (CASS-7), 11.7 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
CASS & Market Conduct
Payment Services Safeguarding Audit — Conduct Risk Indicator: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of payment services safeguarding audit focusing on conduct risk indicator. Covers statutory register tie-out (CASS-7), 16.1 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
CASS & Market Conduct
Senior Managers Certification Regime — Prudential Submission Calendar: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of senior managers certification regime focusing on prudential submission calendar. Covers statutory register tie-out (CASS-7), 11.9 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Common questions
3 questions answered
What is FCA Client Assets Sourcebook (CASS 7) (CASS-7) and how is it classified?
Detailed rules in the FCA Handbook requiring firms to protect client money and assets by holding them in segregated statutory trust accounts at credit institutions. In London Firm Ledger's entity index, FCA Client Assets Sourcebook (CASS 7) is classified as a licence or regulatory framework with identifier or ticker code CASS-7.
Which jurisdiction and regulatory authority oversee FCA Client Assets Sourcebook (CASS 7)?
FCA Client Assets Sourcebook (CASS 7) is tracked under the United Kingdom jurisdiction, with primary regulatory oversight or statutory reference tied to FCA Client Assets Sourcebook (CASS 7). Key structured dossier attributes include category: CASS & Market Conduct; coverage desk: London Firm Ledger; regulatory body: FCA Client Assets Sourcebook (CASS 7).
How is FCA Client Assets Sourcebook (CASS 7) covered in London Firm Ledger institutional research?
FCA Client Assets Sourcebook (CASS 7) is referenced across 8 published research articles on London Firm Ledger. Coverage examines regulatory filings, market structure impact, and cross-border compliance developments involving FCA Client Assets Sourcebook (CASS 7) (CASS-7).
Peer entities comparison
Side-by-side regulatory & classification matrix for FCA Client Assets Sourcebook (CASS 7) and related entities
| Entity | Classification | Ticker / code | Jurisdiction | Regulator / statute | Wikidata ID | Articles |
|---|---|---|---|---|---|---|
FCA Client Assets Sourcebook (CASS 7)Current | Licence or regulatory framework | CASS-7 | United Kingdom | FCA Client Assets Sourcebook (CASS 7) | — | 8 |
| Licence or regulatory framework | PS21-3 | United Kingdom | FCA / PRA Operational Resilience Policy (PS21/3) | — | 7 | |
| Licence or regulatory framework | PS22-11 | United Kingdom | FCA Appointed Representative Policy (PS22/11) | — | 7 | |
| Licence or regulatory framework | PRIN-12 | United Kingdom | FCA Consumer Duty Principle 12 Framework | — | 7 | |
| Licence or regulatory framework | PART-4A | United Kingdom | FCA Part 4A Permission Framework | — | 8 | |
| Licence or regulatory framework | TAKEOVER-PANEL | United Kingdom | Panel on Takeovers and Mergers (The Takeover Panel) | — | 7 | |
| Licence or regulatory framework | SMCR | United Kingdom | Senior Managers and Certification Regime (SM&CR) | — | 7 |