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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 Axiom 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 Axiom.

New rules

The below table details rules which have been added. You will find these in Axiom 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 support@axiomhq.com.

 

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

| Wed, January 3rd, 2018

Shaun Jeavons is a Product Owner at AxiomHQ. He manages the Quality of Life improvements for the Axiom platform liaising with the internal technical team and external clients.

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Email: info@axiomhq.com or Call +44 (0) 20 3965 2166

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