CL-1.5.1

Investment firm licensees that hold or control client assets (including where it pools financial instruments held for more than one client) must arrange for their external auditor to report on the licensees' compliance with the requirements contained in this Module. Investment firm licensees Category 1 and Investment firm licensees Category 2 which do not hold or control Client Assets are obligated to confirm the same annually.

Amended: October 2017
Amended: July 2008