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CL-2.6.2

Past version: Effective up to 30 Jun 2007
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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;
(h) the date of opening and where applicable, closure.