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AA-3.2.1

Investment firm licenseesG that hold or control clientG assets must arrange for their external auditors to report on the licensee'sG compliance with the requirements contained in Module CL (Client Assets), at least once a year. Investment firm licenseesG Category 1 and Investment firm licenseesG category 2 which do not hold or control Client Assets are obligated to confirm the same annually.

Amended: October 2017
Amended: January 2007
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