CASS RP Template

The CASS RP Template is a comprehensive and fully editable Word document designed to help UK financial services firms meet their obligations under CASS 10. The Client Assets Resolution Pack (RP) is a critical regulatory requirement, ensuring that client money and assets can be identified and returned promptly in the event of firm failure.

This template offers a clear, structured approach to building your firm’s RP, including:

• Main RP Contents: Sections for client money bank account schedules, custodian lists, acknowledgment letters, reconciliation methodologies, and governance structures.

• Daily Extracts: A framework for recording daily balances, reconciliation breaks, and outstanding issues.

For CASS Oversight Officers, compliance teams, and governance professionals, this template provides:

• Governance & Accountability: Editable tables to record ownership, responsibilities, and review dates for each required item.

• Retrieval Testing: A practical tool for periodic retrieval testing and demonstrating readiness to the FCA.

• Gap Identification: Helps you identify missing documentation and strengthen your overall CASS controls.

The template is designed to be flexible and easily adapted to your firm’s operational setup and existing policies. It supports you in meeting the FCA’s requirement to maintain and deliver a complete RP within 48 hours of request.

Note: This template is a best practice tool to help firms organise and demonstrate robust CASS oversight. It should be used alongside your firm’s policies and regulatory interpretations and is not a substitute for legal advice.

Download and customise your CASS RP Template today to reinforce your client protection framework and support your CASS compliance journey.