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RM-2.1.8

Investment firm licensees must maintain appropriate records of:

(a) Counterparty exposures, including aggregations of individual counterparty exposures, as appropriate, by:
(i) Groups of connected counterparties;
(ii) Types of counterparty as defined, for example, by the nature or geographical location of the counterparty;
(b) Investment decisions, including details of the decision and the facts or circumstances upon which it was made; and
(c) Information relevant to assessing current counterparty and risk quality.
Adopted: July 2007