‹ 4. Dealing in Investments as Principal 5. Absence of holding out etc. › Exclusions 5. Absence of holding out etc. 6. Deals with or through Authorised Persons or Exempt Persons or through foreign licensed persons 7. Acceptance of instruments creating or acknowledging indebtedness 8. Issue by a Company of its own Shares etc. 9. Dealing by a Body Corporate in its own Shares 10. Risk management 11. Other exclusions ‹ 4. Dealing in Investments as Principal 5. Absence of holding out etc. ›
