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CL-2.4.2

Past version: Effective up to 30 Jun 2007
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All statements produced by or on behalf of an investment firm licensee must list all safe custody assets held for the client and for which the investment firm licensee is accountable and:

(a) identify any safe custody financial instruments registered in the client's own name separately from those registered in any other name;
(b) identify any safe custody assets which are being used as collateral or have been pledged to third parties, separately from any custody assets;
(c) show the market value of any collateral held, as at the date of the statement;
(d) for a retail client, base the statement on either trade date or settlement date information for cash balances and safe custody investment and notify the basis to the retail client;
(e) details of movements of each client asset.