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LR-1.3.47

The following are examples of activities, which when taken in isolation, are unlikely to be regarded as an activity of the kind specified in Rule LR-1.3.40:

(a) Appointing professional advisers;
(b) Preparing a prospectus/business plan;
(c) Identifying potential sources of funding;
(d) Assisting investors/subscribers/borrowers to complete and submit application forms; or
(e) Receiving application forms for processing/checking and/or onward transmission.
Amended: October 2010
October 2007
 Versions
(2 Versions)
 
Apr 1 2008 - Sep 30 2010Oct 1 2010 onwards
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