Investor Presentaiton

UK Law: Delegation by UK-Authorized Firms to Overseas Firms (Cont.) If a firm and the delegate are members of the same group, the firm may take into account the extent to which it controls the delegate or may influence its actions A firm must make available on request to the FCA and any other relevant competent authority all information necessary to enable it to supervise the compliance of the performance of the outsourced activities with the regulatory system Morgan Lewis 76

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