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CL-6.1.1

The minimum information that should be assessed by an investment firm licensee to determine the suitability of an eligible third party should include but not be limited to the following information:

(a) The eligible third party's credit rating, capital and financial resources;
(b) The regulatory and insolvency regimes of the jurisdiction in which the eligible third party is located;
(c) The eligible third party's reputation;
(d) Its regulatory status and history; and
(e) The other members of the eligible third party's group and their activities.
Amended: January 2007