News
Below you will find a range of published articles which I hope you find of interest. You may also be interested in obtaining a copy of a book of which Anthony Smith is one of the co-authors through the link below. A topical news item will be added on a regular basis and I am more than happy to receive contributions via our Contact Page.
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News articles for November 2011
1 item found
Mandates
Published: November 2011
By: Anthony Smith
A subtle change in SUP 3.10.5R (1) brings mandates into the CASS audit. The requirements are simple enough but the application is very wide including fund managers who control and invest client money in a fund. If you have your CASS audit and find questions being asked about where your authorities are held and the security measures in place then this is why.
The CASS Audit also has to record all breaches in much more depth than before so records better be up to date an in good order.....
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