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RM-3.1.5

Investment firm licensees must identify significant concentrations within their asset portfolios. This should be done in relation to:

(a) Individual counterparties or related groups of counterparties;
(b) Credit ratings of the assets in its portfolio;
(c) The proportion of an issue held;
(d) Instrument types;
(e) Geographical regions; and
(f) Economic sectors.
Adopted: July 2007