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  • Report on Compliance with Client Asset Rules

    • C4-2.2.14

      Category 4 investment firms that hold or control client assets must arrange for their external auditors to report on the licensee’s compliance with the requirements contained in Appendix CL – (i) at least once a year. The report must be in the form agreed by CBB and must be submitted to the CBB within three months of the licensee’s financial year-end.

      Added: January 2022