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CL-1.2.3

If safe custody financial instruments of more than one client are held together, none of those safe custody financial instruments may be used for a stock lending activity unless:

(a) All of those clients have consented to their safe custody financial instrument being used for that activity; or
(b) The investment firm licensee has adequate systems and procedures in place to ensure that only safe custody financial instruments belonging to clients who have given their consent are used for stock lending activity.
Amended: January 2007