MIFID II Update to CASS Rules.

As you may be aware, the application of MIFID II from 03/01/2018 includes some changes to the CASS regulations within the FCA Handbook.
These changes are automatically included within Ruleguard and the below notes contain full details on what has been updated.

Changed rules

These include rules which have had some text updated, or where the rule has been removed entirely from the handbook. The below table details the nature of the change in each case. Where the rule has been changed, the full FCA instrument contains the transcript of the new wording and you will find this reflected within Ruleguard.

New rules

The below table details rules which have been added. You will find these in Ruleguard with the full rule text in place – they can be browsed by viewing the “All requirements” link from the left-hand menu and then navigating to the appropriate chapter/sub-chapter of the rules.

The full FCA instrument also contains the transcript of the new rules.

Finally, we will be adding the new rules to content screens ready for mapping in the coming days and will provide a separate update detailing this, along with any commentary from Prin10, when ready.

In the meantime, if you have any questions about these changes please don’t hesitate to contact us at hello@ruleguard.com. 

Newly added 3rd Jan 2018Changed 3rd Jan 2018Change TypeCASS 1.4.9RemovedCASS 1.4.10RemovedCASS 1.4.11RemovedCASS 1.4.12RemovedCASS 1.4.13RemovedCASS 1.4.14RemovedCASS 1A.3.2ACASS 1A.3.1ChangedCASS 1A.3.2BCASS 1A.3.1AChangedCASS 3.2.4ChangedCASS 6.1.6DCASS 6.1.1ChangedCASS 6.1.6ECASS 6.1.4ChangedCASS 6.3.4A-2CASS 6.1.6RemovedCASS 6.3.6ACASS 6.1.6ARemovedCASS 6.3.6BCASS 6.1.6BChangedCASS 6.3.6CCASS 6.1.7RemovedCASS 6.3.6DCASS 6.1.8AChangedCASS 6.4.1BCASS 6.1.8BChangedCASS 6.4.1CCASS 6.1.8CChangedCASS 6.4.1DCASS 6.1.8DChangedCASS 6.4.2ACASS 6.1.8EChangedCASS 6.4.2BCASS 6.2.1ChangedCASS 6.2.2ChangedCASS 6.3.1ChangedCASS 6.3.2ChangedCASS 6.3.4ChangedCASS 6.3.4A-1ChangedCASS 6.3.5RemovedCASS 6.3.6RemovedCASS 6.3.7RemovedCASS 6.3.8RemovedCASS 6.4.1ChangedCASS 6.4.1AChangedCASS 6.4.3ChangedCASS 6.6.2ChangedCASS 6.6.3ChangedCASS 6.6.5ChangedCASS 6.6.34ChangedCASS 7.11.4ACASS 7.10.16ChangedCASS 7.13.20-ACASS 7.10.23ChangedCASS 7.13.21ACASS 7.11.1RemovedCASS 7.13.21BCASS 7.11.2RemovedCASS 7.13.21CCASS 7.11.3ChangedCASS 7.13.29ACASS 7.11.5RemovedCASS 7.11.8RemovedCASS 7.11.9ChangedCASS 7.11.10ChangedCASS 7.11.11ChangedCASS 7.11.12ChangedCASS 7.11.15ChangedCASS 7.12.1ChangedCASS 7.12.2ChangedCASS 7.13.3ChangedCASS 7.13.8ChangedCASS 7.13.10ChangedCASS 7.13.12ChangedCASS 7.13.20ChangedCASS 7.13.21ChangedCASS 7.13.22ChangedCASS 7.13.23ChangedCASS 7.13.26ChangedCASS 7.13.28ChangedCASS 7.13.29RemovedCASS 7.15.2ChangedCASS 7.15.3ChangedCASS 7.15.4ChangedCASS 7.15.20ChangedCASS 9.4.2ACASS 9.3.2ChangedCASS 9.4.2BCASS 9.4.1ChangedCASS 9.5.4ACASS 9.4.2ChangedCASS 9.5.4BCASS 9.4.3ChangedCASS 9.5.4CCASS 9.4.4ChangedCASS 9.5.5ACASS 9.5.1ChangedCASS 9.5.2ChangedCASS 9.5.3ChangedCASS 9.5.4ChangedCASS 9.5.6ChangedCASS 9.5.7ChangedCASS 9.5.9ChangedCASS 10.1.2ChangedCASS 10.1.7ChangedCASS 10.3.1ChangedCASS 12.2.2Changed