Entire section Custom print Link Text Only Rich Text Print
  Versions

 

C4-3.3.2

For the purpose of C4-3.3.1 client assets are held or controlled by the category 4 investment firm on behalf of a client if they are:

(a) Directly held by the licensee;
(b) Held in an account in the name of the licensee;
(c) Held by a person, or in an account in the name of a person, controlled by the licensee; or
(d) Held in an account with another person, controlled by the licensee; or
(e) The account is operated in accordance with the instructions of the licensee.
Added: January 2022