CASS auditors usually group multiple breaches in their reports, avoiding the need for extensive repetition and additional cost. We have not heard from auditors that reporting on extra breaches would result in significantly increased costs of audits.

it will be unable to or materially fails to conduct an external client money reconciliation in compliance with CASS 13.10.17R; or A team of subject experts prepare well-structured NCERT Solutions for Class 6 to help the students. These Solutions describe each answer in a step-by-step manner so that students can easily understand them. The annual exam question paper is designed, comprising questions from the NCERT Class 6 books. Consequently, solving the problems by referring to the NCERT Class 6 Solutions assist the students in preparing thoroughly for the exams.

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MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract

MIFIDPRU 5 Annex 2 Notifications under MIFIDPRU 5.11.2R in respect of the exemption from K-CON requirement for commodity and emission allowance dealers the firm holds client money using a client bank account under CASS 7.13.13R(3A)(b) (Segregation of client money); and

NCERT Class 6 Solutions – Download Free PDFs

FEES 4 Annex 10 Periodic fees for MTF operators payable in relation to the period 1 April 2020 to 31 March 2021 [deleted] COBS 9 Suitability (including basic advice) (other than MiFID and insurance-based investment products)

MIFIDPRU 2 Annex 3 Notification under MIFIDPRU 2.5.17R of intended use of proportional consolidation in respect of a relevant financial undertaking FEES App 3 Fees payable by persons registered under the Money Laundering Regulations that are not cryptoasset businesses A firm must denote a balance falling under (2)(b) by using the words “unbreakable 31-60” in data field 13B of the CMAR.LR 14 Annex 1 Data on the diversity of the individuals on a listed company’s board and in its executive management GEN TP 3 Transitional Provision in relation to the Alternative Investment Fund Managers Directive Instrument 2013 FEES 4 Annex 4 Periodic fees in relation to collective investment schemes, AIFs marketed in the UK, small registered UK AIFMs and money market funds payable for the period 1 April 2023 to 31 March 2024 COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products A firm is not required to attempt to return or transfer a safe custody asset under paragraph (1)(a) where the client to whom the safe custody asset belongs has confirmed to the firm that it disclaims all its interests in the safe custody asset.

Client accounts may not be used to reimburse other creditors in the event of the firm’s insolvency. ( CASS 5.3 and CASS 5.4) EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers the client may notify the firm that he does not wish his money to be held in a particular jurisdiction;

Other NCERT Resources

SUP 16 Annex 55 Categories of investment for notifications and reports relating to approvals of financial promotions where the client has not responded within 28 days of the second communication under sub-paragraph (b)(ii), attempting to communicate the information in sub-paragraph (b)(i) to the client on at least one further occasion by any means other than one in respect of which the firm has obtained positive confirmation that the client is not receiving such communications. FEES 3 Annex 6 Fees payable by a BIPRU firm for a permission or guidance on its availability in connection with the BCD and/or CAD [deleted] COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions) MIFIDPRU 3 Annex 5 Notification under MIFIDPRU 3.6.3R - intended reduction in own funds instruments where a condition in MIFIDPRU 3.6.4R applies