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LR-1.2.17

With respect to activities (f) and (g) (dealing in financial instrumentsG as principal / agent), the threshold refers to the individual transaction size. With respect to activities (h) and (i) (managing / safeguarding financial instrumentsG ), the threshold refers to the initial investment amount. With respect to activity (j) (operating a collective investment schemeG ), the threshold refers to the minimum investment required for participation in the scheme. With respect to activities (k) and (l) (arranging deals in / advising on financial instrumentsG ), the threshold refers to the size of the deal arranged or of the investment on which advice is being given.

October 2007
 Versions
(1 Version)
 
Apr 1 2008 onwards
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