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Summary

PART 1: Background to Litigation and Compliance Procedures @ Page 9 - 32 PART 2: Know Your Client @ Page 48 - 78 PART 3: Conduct of Business @ Page 81 - 106 PART 4: Corporate Finance Transactions @ Page 109 - 116 PART 5: Portfolio Review @ Page 119 - 124 PART 6: Discretionary Management @ Page 127 - 133 PART 7: Client Money Regulations @ Page 136 - 152 PART 8: Central Registry @ Page 154 - 163 PART 9: Complience Role @ Page 166 - 175 PART 10: Complaints Procedure @ Page 178 - 180 PART 11: Advertising @ Page 182 - 185