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Contents

201. Liability to clients for activities

A holder of q. capital markets services licence shall be liable to clients and other third parties that have contracted with him for any act of negligence, recklessness of fraud committed by his officer, employee or authorised agent as if he had carried out the act.

Report

Part IX

Part X

Intervention Powers of Authority

Part XI

Complaints Committee and Investor Compensation Scheme

Part XII

Financial Markets Services Panel

Part XIII

General