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CA-1.2.9

Past version: Effective up to 30 Jun 2007
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Category 1 and 2 investment firms must notify the Agency if:

(a) the ratio of Regulatory Capital to their Regulatory Capital Requirement falls below 110%;
(b) any single probable contingency, financial commitment or large exposure exceeds 25% of their Regulatory Capital; and
(c) any instrument, transaction or situation does not appear to be catered for under Module CA.