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WRITTEN NOTICE CONCORD LARGE EXPOSURES GROUP (LEG) NON TRADING BOOK PERMISSION To:Close Brothers Limited (FAN:124750) (the firm)Of:10 Crown Place, London, EC2A 4FTReference Number:4631188Date:8 September
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Wait for the authorities to process your request and grant the non trading book permission if deemed appropriate.
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Who needs non trading book permission?

01
Non trading book permission is usually needed by individuals or organizations who are involved in financial activities but do not engage in trading.
02
This permission may be required by banks, financial institutions, investment firms, or any entity that deals with financial services other than trading securities or commodities.
03
It is important for such entities to obtain non trading book permission in order to legally carry out their non-trading financial activities.
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Non trading book permission refers to the regulatory authorization required for financial institutions to hold and manage assets that are not part of their trading activities. This permission is essential for maintaining compliance with regulatory frameworks.
Financial institutions, including banks and investment firms, that wish to hold non trading assets must file for non trading book permission. This includes any entity engaging in investment activities outside of trading.
To fill out non trading book permission, institutions must complete a form provided by the regulatory authority, detailing the nature of the assets, the risk management practices in place, and the intended use of the non trading assets.
The purpose of non trading book permission is to ensure that financial institutions have adequate risk management measures and regulatory compliance in place for assets that are not actively traded, thus safeguarding the financial system.
Institutions must report detailed information on the types of non trading assets, their respective values, investment strategies, risk assessments, and any associated financial forecasts when applying for non trading book permission.
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