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Sample Risk Retention Majority Owned Affiliate Due Diligence Discussion Topics

Summary

The sample discussion topics contained herein, which were developed by a SIFMA dealer working group on the risk retention rules, are intended to help guide dealers acting as underwriters, initial purchasers and placement agents in their efforts to undertake a reasonable investigation to determine if there are any material misrepresentations or omissions contained in a registration statement, prospectus or offering memorandum regarding whether a “majority-owned affiliate” meets the requirements imposed by the credit risk retention rules.

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Date

16

August

2017

Excerpt

Sample Risk Retention Majority Owned Affiliate Due Diligence Discussion Topics

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