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MIR-4.7.9

The member may maintain and hold the clients assets under the following agreements or arrangements:

(a) Non discretionary securities account;
(b) Discretionary accounts and portfolios;
(c) Margin trading arrangements;
(d) Depository and custody accounts;
(e) Bank accounts related to the securities transactions (if applicable);
(f) Securities lending and borrowing arrangements;
(g) For the purpose of collateral arrangements;
(h) Under specific mandates and arrangements approved by the CBB and SRO.

All the abovementioned arrangements shall be entered into by and in a duly signed agreement between the member and its clients.

Adopted January 2010