CASS Rules definition

CASS Rules means the Client Asset Sourcebook of the FCA;
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CASS Rules means the rules contained in CASS;
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CASS Rules means the rules set out in Chapters 7 and 7A of the FSA’s Client Assets Sourcebook (as amended)
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Examples of CASS Rules in a sentence

  • The ACD has elected to utilise the DvP methodology permitted in the FCA’s CASS Rules.

  • If we do this, we will endeavour to ensure your money is held as client money under the FCA CASS Rules or an equivalent regulatory regime.

  • We will exercise due skill, care and diligence in the selection, appointment and periodic review of any Sub-Custodian as required under the FCA CASS Rules.

  • LCH is not subject to the Financial Conduct Authority’s client assets and client money rules (the "CASS Rules").

  • We may appoint a third party whether an Associate or a Non-Associate to perform custody services following our assessment that the appointment satisfies the requirements of the FCA CASS Rules.

  • In the case of either an ISA or an OSA, an insolvency practitioner may require a full reconciliation of the books and records in respect of all securities accounts prior to the release of any securities from those accounts.We are subject to the client asset rules of the UK Financial Conduct Authority (CASS Rules), which contain strict and detailed requirements as to the maintenance of accurate books and records and the reconciliation of our records against those of the CSDs with which accounts are held.

  • The Delivery Versus Payment exemption essentially allows us to disapply the FCA CASS Rules relating to your money or assets for a short period of time when settling your transaction within a Commercial Settlement System, subject always to Applicable Law.

  • We will only transfer your money and/or assets to another person who either will hold them under the FCA CASS Rules or to whom we have exercised all due skill, care and diligence in assessing whether that person will apply adequate measures to protect your money and/or assets.

  • The Custodian may arrange the registration of your safe custody investments in any name permitted by the FCA CASS Rules.

  • As long as books and records are maintained in accordance with the CASS Rules, clients should receive the same level of protection from both ISAs and OSAs.ShortfallsIf there were a shortfall between the number of securities that we are obliged to deliver to clients and the number of securities that we hold on their behalf in either an ISA or an OSA, this could result in fewer securities than clients are entitled to being returned to them on our insolvency.


More Definitions of CASS Rules

CASS Rules means all rules made by the FCA in respect of client assets, as amended from time to time;
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CASS Rules means the Authority’s Client Assets Sourcebook
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CASS Rules means the Client Assets sourcebook;
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CASS Rules means the Client Asset Sourcebook of the FCA; “Closing Date” in the case of the Fund the quarter dates by which Subscriptions may be made by Investors in the Fund, the first such date to be 31st March 2018 and thereafter on or around the normal quarter end dates. In the case of an Investor the quarterly date on which Commitment to the Fund has been deemed to have been received;
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CASS Rules means the client money and assets rules specified in the Customer Assets Sourcebook (“CASS”) in the FCA Handbook.
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CASS Rules means the Client Assets Sourcebook contained in the Authority’s Handbook;
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Related to CASS Rules

  • CCASS Rules means the General Rules of CCASS and the CCASS Operational Procedures in effect from time to time;

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA.

  • Business Rules means the business rules established by JSCC regarding its Financial Instruments Obligation Assumption Service for CDS Transactions, as amended, if applicable.

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • SIFT Rules means the provisions of the Income Tax Act providing for a tax on certain income earned by a “SIFT trust” or “SIFT partnership” as those terms are defined in the Income Tax Act.

  • M&A Rules means the Provisions on Merging and Acquiring Domestic Enterprises by Foreign Investors, which was promulgated by six Governmental Agencies, namely, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the State Administration for Taxation, the State Administration for Industry and Commerce, the China Securities Regulatory Commission (the “CSRC”), and the State Administration of Foreign Exchange, on August 8, 2006 and became effective on September 8, 2006, as amended by the Ministry of Commerce on June 22, 2009.

  • Applicable Laws/ Rules means the laws/ Rules of Islamic Republic of Pakistan/Punjab, as they may be issued and enforced from time to time.

  • Relevant Rules means, at any time, the laws, regulations, requirements, guidelines and policies relating to capital adequacy (including, without limitation, as to leverage) then in effect in the United Kingdom including, without limitation to the generality of the foregoing, as may be required by CRD IV or BRRD or any applicable successor legislation or any delegated or implementing acts (such as regulatory technical standards) adopted by the European Commission and applicable to the Issuer from time to time and any regulations, requirements, guidelines and policies relating to capital adequacy adopted by the Relevant Regulator from time to time (whether or not such requirements, guidelines or policies are applied generally or specifically to the Issuer or to the Issuer and any of its holding or subsidiary companies or any subsidiary of any such holding company).

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.

  • House Rules means the specific rules that are adopted by a facility licensee to govern the operation of a licensed facility and events, and which must comply with these policies;

  • HKIAC Rules shall have the meaning ascribed to it in Section 10.13(a).

  • Central Bank UCITS Regulations means the Central Bank (Supervision and Enforcement)

  • Regulatory Rules means all corporate and securities laws, regulations, rules, policies, notices, instruments and other orders of any kind whatsoever which may, from time to time, apply to the implementation, operation or amendment of this Plan or the Options granted from time to time hereunder including, without limitation, those of the applicable Regulatory Authorities.

  • UCITS Regulations means the European Communities (Undertakings for Collective

  • AIM Rules means the rules published by the London Stock Exchange governing admission to AIM and the regulation of AIM companies as amended or re-issued from time to time;

  • DOE Rules means DOE’s energy conservation regulations found in Title 10, Parts 429, 430, and 431 of the Code of Federal Regulations.

  • JAMS Rules has the meaning assigned thereto in Section 13 hereof.

  • Site Rules means all rules, regulations, directives and policies notified by the Company from time to time which are intended to be of general application to persons at a Site controlled or managed by the Company.

  • TRADES Regulations means the regulations of the United States Department of the Treasury, published at 31 C.F.R. Part 357, as amended from time to time. Unless otherwise defined herein, all terms defined in the TRADES Regulations are used herein as therein defined.

  • HIPAA Rules means the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • Park Rules means the rules of conduct and practice issued by us from time to time and applicable to the use of the Caravan and other facilities at the Park. A copy of the Park Rules in force at the date of this Licence Agreement is attached.

  • Club Rules means such rules and regulations set down by the Manager (with the approval of the Owners’ Committee, (if any)) from time to time with specific application to the Club House and the use and enjoyment thereof;

  • QFC Stay Rules means the regulations codified at 12 C.F.R. 252.2, 252.81–8, 12 C.F.R. 382.1-7 and 12 C.F.R. 47.1-8, which, subject to limited exceptions, require an express recognition of the stay-and-transfer powers of the FDIC under the Federal Deposit Insurance Act and the Orderly Liquidation Authority under Title II of the Xxxx Xxxxx Wall Street Reform and Consumer Protection Act and the override of default rights related directly or indirectly to the entry of an affiliate into certain insolvency proceedings and any restrictions on the transfer of any covered affiliate credit enhancements.

  • EP Regulations means The Environmental Permitting (England and Wales) Regulations SI 2016 No.1154 and words and expressions used in this permit which are also used in the Regulations have the same meanings as in those Regulations.