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GR-4.1.2

Rule GR-4.1.1 is intended to apply to circumstances where an investment firm licenseeG wishes to sell all or part of its business to a third party. It does not apply where an investment firm licenseeG is simply transferring client assetsG to a third party, on instruction from the client concerned.

Amended: July 2007
 Versions
(2 Versions)
 
Up to Jun 30 2007Jul 1 2007 onwards
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