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  • AA-3.2 AA-3.2 Report on Compliance with Client Asset Rules

    • AA-3.2.1

      Investment firm licensees that hold or control client assets must arrange for their external auditors to report on the licensee's compliance with the requirements contained in Module CL (Client Assets), at least once a year. Investment firm licensees Category 1 and Investment firm licensees category 2 which do not hold or control Client Assets are obligated to confirm the same annually.

      Amended: October 2017
      Amended: January 2007

    • AA-3.2.2

      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.

      Amended: April 2018
      Amended: January 2007

    • AA-3.2.3

      Further information on the above can be found in Section CL-1.5.