WebJul 9, 2024 · This function was introduced by the FCA to enhance governance and oversight of client money and assets in firms. The CF10a must: Oversee the operational effectiveness of the firm’s CASS systems and controls. Report on their CASS role to the firm’s governing body. Complete and submit the CMAR to the FCA. Key corporate … Web409A Savings Clause. If Executive is a “specified employee” within the meaning of Section 409A of the Internal Revenue Code of 1986, as amended by the rules and regulations …
SUP 16.12 Integrated Regulatory Reporting - FCA …
WebThe No Client Assets Licensing Condition may be varied, revoked or imposed by the SFC from time to time. Any Managers or other licensed entities which holds an unconditional licence with regard to holding client assets, i.e. a licence without the No Client Assets Licensing Condition, are subject to more stringent reporting obligations, as well WebJan 6, 2024 · First, the DFSA's Supervision division commenced a project in 2024 to examine firms’ efforts to safeguard client assets, and related audit practices. This project will run into 2024 and will ... hyperplanning ecv
3. 9 Asset Manager (AM) DU204SA-17-R-0001 - GovTribe
WebFeb 22, 2024 · Client Assets Securities & Futures Commission of Hong Kong Home Regulatory functions Intermediaries Supervision Search regulations by topic Client Assets Search regulations by topic This page is designed to assist you to locate circulars, FAQs and thematic reports published by Intermediaries Supervision. Webbehalf of a client and (where applicable) client money; and (ii) client assets are treated in the event of failure of the firm that holds the client assets either directly or indirectly (through one or more intermediaries or custodians). 4. Transfer powers in relation to client assets (KA 3.2(vi) and (vii) and KA 3.3) 42 Webbehalf of a client and (where applicable) client money; and (ii) client assets are treated in the event of failure of the firm that holds the client assets either directly or indirectly … hyperplanning ecole pierre coulery