COBS 16.3.1

An Authorised Person must include within its Resolution Pack:

(a) a master document containing information sufficient to retrieve each document in the Authorised Person's Resolution Pack;
(b) a document which identifies the institutions the Authorised Person has appointed (including through a tied agent, field representative or other agent):
(i) in the case of Client Money, for the placement of money in accordance with Rule 14.2.3 or to hold or control Client Money in accordance with Rule 14.2.5(c); and
(ii) in the case of Safe Custody Assets, for the deposit of those assets in accordance with Rule 15.5.1;
(c) a document which identifies each tied agent, field representative or other agent of the Authorised Person which receives Client Money or Safe Custody Assets in its capacity as the Authorised Person's agent in accordance with Rule 15.5.1 and Rule 15.6;
(d) a document which identifies each senior manager, director and any other individual, and the nature of their responsibility within the Authorised Person, who is critical or important to the performance of operational functions related to any of the obligations imposed on the Authorised Person by this chapter;
(e) for each institution identified in Rule 14.3.1(b) a copy of each executed agreement, including any side letters or other agreements used to clarify or modify the terms of the executed agreement, between that institution and the Authorised Person that relates to the holding of Client Money, Relevant Money or Safe Custody Assets;
(f) a document which:
(i) identifies each member of the Authorised Person's Group involved in operational functions related to any obligations imposed on the Authorised Person under this chapter, including, in the case of a member that is a nominee company, identification as such; and
(ii) identifies each third party which the Authorised Person uses for the performance of operational functions related to any of the obligations imposed on the Authorised Person by this chapter;
(g) for each Group member identified in Rule 14.3.1(f)(i), the type of entity (such as branch, subsidiary and/or nominee company) the Group member is, its jurisdiction of incorporation if applicable, and a description of its related operational functions;
(h) a copy of each executed agreement, including any side letters or other agreements used to clarify or modify the terms of the executed agreement, between the Authorised Person and each third party identified in Rule 14.3.1(f)(ii);
(i) where the Authorised Person relies on a third party identified in Rule 14.3.1(f)(i), a document which describes how to:
(i) gain access to relevant information held by that third party; and
(ii) effect a transfer of any of the Client Money, Relevant Money or Safe Custody Assets held by the Authorised Person, but controlled by that third party; and
(j) a copy of the Authorised Person's manual which records its procedures for the management, recording and transfer of the Client Money, Relevant Money or Safe Custody Assets that it holds.