Client money : does the one call fine signal wider issues with Cass 5?
<?xml version="1.0" encoding="UTF-8"?><collection xmlns="http://www.loc.gov/MARC21/slim" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="http://www.loc.gov/MARC21/slim http://www.loc.gov/standards/marcxml/schema/MARC21slim.xsd">
<record>
<leader>00000cab a2200000 4500</leader>
<controlfield tag="001">MAP20180010347</controlfield>
<controlfield tag="003">MAP</controlfield>
<controlfield tag="005">20180425170844.0</controlfield>
<controlfield tag="008">180403e20180301esp|||p |0|||b|spa d</controlfield>
<datafield tag="040" ind1=" " ind2=" ">
<subfield code="a">MAP</subfield>
<subfield code="b">spa</subfield>
<subfield code="d">MAP</subfield>
</datafield>
<datafield tag="084" ind1=" " ind2=" ">
<subfield code="a">213</subfield>
</datafield>
<datafield tag="100" ind1=" " ind2=" ">
<subfield code="0">MAPA20170003663</subfield>
<subfield code="a">Croucher, Martin</subfield>
</datafield>
<datafield tag="245" ind1="1" ind2="0">
<subfield code="a">Client money </subfield>
<subfield code="b">: does the one call fine signal wider issues with Cass 5?</subfield>
<subfield code="c">Martin Croucher</subfield>
</datafield>
<datafield tag="520" ind1=" " ind2=" ">
<subfield code="a">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.</subfield>
</datafield>
<datafield tag="610" ind1="2" ind2="1">
<subfield code="0">MAPA20170002604</subfield>
<subfield code="a">Financial Conduct Authority</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20080588953</subfield>
<subfield code="a">Análisis de riesgos</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20080582418</subfield>
<subfield code="a">Riesgo financiero</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20080617141</subfield>
<subfield code="a">Identificación de riesgos</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20080608811</subfield>
<subfield code="a">Supervisión financiera</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20180004223</subfield>
<subfield code="a">Regulación</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20080600600</subfield>
<subfield code="a">Corredores de seguros</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20080561895</subfield>
<subfield code="a">Contabilidad</subfield>
</datafield>
<datafield tag="650" ind1=" " ind2="4">
<subfield code="0">MAPA20080619695</subfield>
<subfield code="a">Intermediarios financieros</subfield>
</datafield>
<datafield tag="651" ind1=" " ind2="1">
<subfield code="0">MAPA20080638306</subfield>
<subfield code="a">Gran Bretaña</subfield>
</datafield>
<datafield tag="773" ind1="0" ind2=" ">
<subfield code="w">MAP20170035732</subfield>
<subfield code="t">Insurance post</subfield>
<subfield code="d">London : Infopro Digital Insurance Information , 2016-2022</subfield>
<subfield code="g">01/03/2018 Año 2018 Número 3 - marzo , p. 4-6</subfield>
</datafield>
</record>
</collection>