Transcription of Guide to Client Money - Branko
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Guide to Client Money - Branko
Guide to Client Money February 2006. Guide to Client Money The FSA's Client Money rules are extremely complex and there is evidence that brokers are misunderstanding some of the issues involved. The FSA have already undertaken a thematic review in the wholesale markets sector and the findings were not good they are now working on the retail sector and have made mention of this in their February 2006. sector briefing. The FSA's Client Money rules can be found in Chapter 5 of the Client Assets sourcebook (CASS). This Guide (written in conjunction with BIBA) attempts to explain some of these issues in simple terms. As an intermediary, any monies received from customers are held by you either as agent of your customer, or as agent of the insurer.
Guide to Client Money – February 2006 © Branko Ltd – effective FSA compliance solutions www.branko.org.uk When? Generally no later than 53 weeks post ...
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