Back Custom print Link Text Only Rich Text Print

  • [ D ]

    • Dated subordinated debt

      A subordinated debt instrument whose maturity date is fixed at the time the instrument is issued.

      Added: January 2011

    • Dematerialised safe custody financial instruments

      Reference to dematerialised safe custody financial instruments refers to electronic holdings of securities. This is often seen in instances where "jumbo" certificates are issued, but individual tranches of the certificate are recorded only in an electronic fashion.

      Added: July 08

    • Designated Bank

      A designated bank is one to which the client of the investment firm licensee has consented in writing to hold his money. See Section CL-5.1.

    • Digital Financial Advice

      Digital Financial advice, also commonly known as robo-advice or automated advice is the advising on financial instruments as defined under AU-1.4.41 using algorithms and technology and with limited or no human financial advisor involvement.

      Added: April 2019

    • Director

      A person who acts in the capacity of director of a firm (whether appointed or not, or whether titled director or not). In the case of a sole trader, unincorporated body or partnership, a person directing its affairs, or a partner (of a partnership). Directors are a controlled function: see AU-1.2.2.

      Amended: July 2007