Sample Documents
Safeguarding Policy for Payment and E-Money Firms
Model CASS 15 safeguarding policy for UK PIs and EMIs, covering segregation, reconciliation, governance, audit and FCA notification.
There is a newer version of this template
The Safeguarding and resolution pack adds the daily reconciliations, an account register with acknowledgement letters, a shortfall and excess log, a resolution pack index, a monthly return working paper and an audit tracker, with the CASS 15 policy as a skeleton and worked examples for payment and e-money firms. Start there. This older template stays available for now.
DOCX7 pagesCASS 15 • safeguarding policy • payment institution
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