1. Financial Factors are quantitative factors determined from monthly financial reporting of Members. 2. Risk Control Factors and Business Factors are qualitative factors from IIROC's Risk Assessment Model for Members.
Client Net Equity (CNE)
CNE is described in Form 1 as “Net equity for each client is the total value of cash, securities, and other acceptable property owed to the client by the Dealer Member less the value of cash, securities, and other acceptable property owed by
the client to the Dealer Member.”