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CL-B.1.4

Client assets are held or controlled by an investment firm licensee on behalf of a client if they are:

(a) Directly held by the investment firm licensee;
(b) Held in an account in the name of the investment firm licensee;
(c) Held by a person, or in an account in the name of a person, controlled by the investment firm licensee; or
(d) Held in an account with another person, controlled by the investment firm licensee.
Amended: January 2007