Investor Presentaiton

UK Law: Licensing of Fund Management Companies (Cont.) Contravention of the General Prohibition is a criminal offense It is a defense for a person to prove that he exercised due diligence and took all reasonable precautions to avoid committing the offense Violators subject to: • If convicted on indictment, imprisonment of up to two years or an unlimited fine, or both •⚫ On summary conviction, imprisonment of up to six months or a fine of up to £5,000, or both Morgan Lewis 53

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