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  • Category 1

    • AU-1.1.13

      For the purposes of Volume 4 (Investment Business), Category 1 investment firms may undertake (subject to Rule AU-1.1.19) any regulated investment service, as listed below:

      (a) Dealing in financial instruments as principal;
      (b) Dealing in financial instruments as agent;
      (c) Arranging deals in financial instruments;
      (d) Managing financial instruments;
      (e) Safeguarding financial instruments (i.e. a custodian;
      (f) Advising on financial instruments;
      (ff) Arranging Credit and Advising on Credit; and
      (g) Operating a collective investment undertaking (i.e. an operator).
      Amended: July 2020
      Added: July 2007

    • AU-1.1.13A

      [This Paragraph has been moved to AU-1.1.24].

      Amended: January 2022
      Added: October 2020

    • AU-1.1.14

      [This Paragraph was moved and amended to Paragraph AU-1.4.11A in January 2012].

      Amended: January 2012
      Amended: July 2007