CASS 10A resolution pack software and operational checklist

Maintain a structured inventory of safeguarding records, track what is missing, and keep evidence that the pack can be retrieved within the Handbook timeframe — without treating software as a substitute for the firm's own completeness judgement.

Check resolution-pack gaps Review pack organisation

CASS 10A resolution pack screen showing pack completeness, responsible persons, method and systems, third-party inventory and retrieval-test controls. — Resolution pack inventory — ownership, completeness, third-party records and retrieval testing in one structured record.

Operational purpose of the resolution pack

CASS 10A requires a safeguarding institution to maintain records that can be retrieved quickly if the firm fails or if an insolvency practitioner needs to identify relevant funds, accounts and arrangements. The pack is not a slide deck assembled after a request. It is a maintained inventory of the information needed to understand the safeguarding position without reconstructing it from email.

The Handbook retrieval timeframe is commonly described as 48 hours, for the firm or an insolvency practitioner. Confirm the current wording in FCA Handbook CASS 10A. Software can organise the record; it does not by itself make the pack compliant.

What the pack should make retrievable

OwnershipResponsible person and ownership recordsWho owns the pack, who can retrieve it, and who reviews it. Named accountability, not a shared drive with no owner.

IndexMaster index and document inventoryA current list of what is in the pack, where it sits, and which items are missing, superseded or awaiting review.

AccountsSafeguarding institutions and account recordsLegal entities, institutions, account identifiers and the purpose of each relevant account.

LettersExecuted acknowledgement lettersStatus and storage of Annex 1 letters. See the CASS 15 Annex 1 acknowledgement letter checklist.

CoverInsurance or guarantee records where applicableProvider, policy or guarantee details, in-force dates and the arrangement they support — where the firm uses that method.

OperationsReconciliation and safeguarding recordsHow to locate the CASS 15 reconciliation record, discrepancies, approvals and supporting files.

SystemsDependencies and system informationThe systems, feeds and access dependencies needed to retrieve the operating record.

HistoryVersioning and review historyWhen the pack was last updated, what changed, and who reviewed it.

Retrieval testing and governance

A pack that cannot be retrieved without assembly after the request is not operating as a resolution pack. Periodic retrieval testing checks whether a named person can produce the inventory and supporting files within the Handbook timeframe, without rebuilding folders first.

Governance evidence typically includes an annual review by the governing body, or a documented equivalent review cycle the firm has adopted. Guardexia can retain the review event, comments and completeness status. It does not replace board judgement or the annual compliance assessment.

How Guardexia supports the pack

Structured inventory of records, owners and status
Tracking of missing or outstanding items
Links from account and letter records into the pack
Versioning, review comments and retrieval-test evidence
Connection to the daily CASS 15 operating record

What Guardexia does not determine or replace

Whether the firm is in scope for CASS 10A
Whether a particular document satisfies the Handbook
Legal advice, auditor opinion or insolvency practitioner work
The firm's methodology, permissions or submissions

CASS 10A questions

What is a CASS 10A resolution pack?

It is the structured set of records a safeguarding institution must maintain so that relevant safeguarding information can be retrieved quickly by the firm or an insolvency practitioner.

Does software make a resolution pack compliant?

No. Software can organise ownership, completeness, versioning and retrieval evidence. The firm remains responsible for the content, accuracy, Handbook interpretation and independent review.

What is the 48-hour retrieval requirement?

CASS 10A requires the pack to be capable of retrieval within the Handbook timeframe, commonly described as 48 hours, by the firm or an insolvency practitioner. Confirm the current wording in the FCA Handbook CASS 10A.

Map the pack against your current folders

Start with the safeguarding gap analysis, review pricing, or walk through how the pack sits next to daily CASS 15 work.

CASS 15 software Annex 1 letter checklist View pricing

This page provides general product information, not legal, regulatory, accounting or audit advice. Confirm current CASS 10A requirements against the FCA Handbook and the firm's permissions.