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CL-2.1.2

An investment firm licensee which holds or controls safe custody financial instruments must have systems and controls in place to:

(a) Ensure the proper safeguarding of such safe custody financial instruments;
(b) Ensure that such safe custody financial instruments are identifiable and secure at all times;
(c) Be able to evidence compliance with the requirements in Section CL-2 to its external auditors and the CBB.
Amended: January 2007