Client Agreement Record Keeping

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Records of all assets released from customer bank accounts, including the information contained in CASS 7.11.55R (1) (a) and CASS 7.11.55R (1) (b) 14 Customer data must be accessible and complete at least for the minimum retention period. A dedicated electronic document and records management system (EDRMS) is preferred to a standard computer record system. An EDRMS is an automated software application designed to support the production, management, use, storage, and disposal of information and records. This may include some ex officio management systems (OMS). The company has procedures and systems for keeping records of all associated agreements and documents with our customers that relate to the requirements of COBS 8. We have ensured that the records we hold record the following: – A personal investment firm that temporarily holds the investments designated by a client that are not covered by the MiFID operation, for or on behalf of a client of a CASS debt management company and written and oral contact with clients and creditors (i) For each of the company`s business lines, the maximum share of the Client`s money that the Company holds under CASS 7.13.3R (1) to (3) with respect to the industry that the Company deems appropriate to hold in those accounts; The customer data set must contain all documents created or received when providing services for program customers. It must also provide records and evidence of all services provided to program clients, which are sufficient to justify any payment entitlements for those services. A customer data set is only “complete” if it contains all the relevant information. Please follow the 2019 Voucher (the instrument), the definition of “records” in the contract, the list of service items and fees and the supplier`s information sheets for details regarding the registration requirements for certain services.

All custodians that the company holds for its clients, including those filed with third parties in accordance with CASS 6.3, and all physical custody systems. Record the choice to match the chapter of customer money Not being able to identify money as customer money or one`s own money, and decide that it is reasonably advisable to record it The purpose of the guide in the following table is to give the reader a quick overview of the relevant registration requirements. . . .