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  • Monitoring and Review

    • CRA-12.5.7

      A licensee must review, at least on an annual basis, its order execution policy and order execution arrangements.

      Added: April 2019

    • CRA-12.5.8

      A licensee must demonstrate to its clients, at their request, that it has executed their orders in accordance with the licensee's order execution policy and it must also ensure that it is able to demonstrate to the CBB upon request that the licensee is in compliance with this Module.

      Amended: April 2023
      Added: April 2019