Search

Client money : does the one call fine signal wider issues with Cass 5?

<?xml version="1.0" encoding="UTF-8"?><modsCollection xmlns="http://www.loc.gov/mods/v3" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="http://www.loc.gov/mods/v3 http://www.loc.gov/standards/mods/v3/mods-3-8.xsd">
<mods version="3.8">
<titleInfo>
<title>Client money</title>
<subTitle>: does the one call fine signal wider issues with Cass 5?</subTitle>
</titleInfo>
<typeOfResource>text</typeOfResource>
<genre authority="marcgt">periodical</genre>
<originInfo>
<place>
<placeTerm type="code" authority="marccountry">esp</placeTerm>
</place>
<dateIssued encoding="marc">2018</dateIssued>
<issuance>serial</issuance>
</originInfo>
<language>
<languageTerm type="code" authority="iso639-2b">spa</languageTerm>
</language>
<physicalDescription>
<form authority="marcform">print</form>
</physicalDescription>
<abstract displayLabel="Summary">The FCA's rules on client money, known as Cass 5, have been a source of confusion for many brokers since they were first implemented in 2005. They are set out in the 42-page chapter 5 of the Client Assets Sourcebook, which was so widely misunderstood it was clarified in a 43-page guide the following year. In the years since then, there have been numerous training seminars organised by compliance firms and trade bodies like the British Insurance Brokers Association.</abstract>
<note type="statement of responsibility">Martin Croucher</note>
<subject authority="lcshac" xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20170002604">
<name type="corporate">
<namePart>Financial Conduct Authority</namePart>
</name>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080588953">
<topic>Análisis de riesgos</topic>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080582418">
<topic>Riesgo financiero</topic>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080617141">
<topic>Identificación de riesgos</topic>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080608811">
<topic>Supervisión financiera</topic>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20180004223">
<topic>Regulación</topic>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080600600">
<topic>Corredores de seguros</topic>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080561895">
<topic>Contabilidad</topic>
</subject>
<subject xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080619695">
<topic>Intermediarios financieros</topic>
</subject>
<subject authority="lcshac" xmlns:xlink="http://www.w3.org/1999/xlink" xlink:href="MAPA20080638306">
<geographic>Gran Bretaña</geographic>
</subject>
<classification authority="">213</classification>
<relatedItem type="host">
<titleInfo>
<title>Insurance post</title>
</titleInfo>
<originInfo>
<publisher>London : Infopro Digital Insurance Information , 2016-2022</publisher>
</originInfo>
<identifier type="local">MAP20170035732</identifier>
<part>
<text>01/03/2018 Año 2018 Número 3 - marzo , p. 4-6</text>
</part>
</relatedItem>
<recordInfo>
<recordContentSource authority="marcorg">MAP</recordContentSource>
<recordCreationDate encoding="marc">180403</recordCreationDate>
<recordChangeDate encoding="iso8601">20180425170844.0</recordChangeDate>
<recordIdentifier source="MAP">MAP20180010347</recordIdentifier>
<languageOfCataloging>
<languageTerm type="code" authority="iso639-2b">spa</languageTerm>
</languageOfCataloging>
</recordInfo>
</mods>
</modsCollection>