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CL-B.1.4

Past version: Effective from 18 Jul 2025 to 30 Jun 2007
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Client assets are held or controlled by an investment firm licensee on behalf of a client if they are:

(a) directly held by the investment firm licensee;
(b) held in an account in the name of the investment firm licensee;
(c) held by a person, or in an account in the name of a person, controlled by the investment firm licensee; or
(d) held in an account with another person, controlled by the investment firm licensee.