Tradition

This firm has requirements or restrictions placed on the financial services activities that it can operate. Requirements or restrictions can include suspensions. 26 JAN 2024 Restrictions on onboarding new high risk clients This Schedule sets out the terms of the requirement to be imposed on TLG pursuant to section 55L(5)(a) of FSMA: TLG will not onboard any new clients classified as high risk or established1 in high-risk jurisdictions, as specified in Schedule 3ZA of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (the “MLRs”) 01 MAR 2018 Exempt CAD-may recv &trans ordrs &/or give inv adv Unable to carry on any investment services and activities (to which MiFID applies) on a regular basis except reception and transmission of orders in relation to one or more financial instruments or investment advice