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CL-2.6.2

For the purpose specified in CL-2.6.1, an investment firm licensee must maintain proper records in relation to a client account; these records must capture at a minimum the following details:

(a) The name of the account;
(b) The account number;
(c) Type of account;
(d) Type of asset;
(e) The location of the account;
(f) Whether the account is currently open or closed;
(g) Details of assets held and movements in each account; and
(h) The date of opening and where applicable, closure.
Amended: January 2007