‘Dear Diary’: Recordkeeping under the FCA’s CASS Rules
Client money and asset protection (CASS) records can range from the transactional to the evidencing of thought processes. There are multiple levels and types of records to be maintained, with different audiences to inform. Firms need to be mindful of the requirements of each audience, which may vary according to the expertise of that audience.
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Editorial Team
- June 9, 2020
- 1 minute
Client money and asset protection (CASS) records can range from the transactional to the evidencing of thought processes. There are multiple levels and types of records to be maintained, with different audiences to inform. Firms need to be mindful of the requirements of each audience, which may vary according to the expertise of that audience. In this paper, we have set out four key areas where CASS recordkeeping evidence is required and explore some of the factors which apply to each.
 
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