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  • Investment Consultant or Investment Adviser

    • TC-1.1.22 [deleted]

      [Paragraph deleted in January 2011].

      Deleted: January 2011

    • TC-1.1.23

      In accordance with Rule AU-1.2.13, investment consultants or investment advisers are responsible for:

      (a) Arranging deals in financial instruments; and/or
      (b) Providing advice to clients with regards to financial instruments.
      Amended: October 2013
      Adopted: July 2010

    • TC-1.1.24

      Individuals holding the position of investment consultant or investment adviser must comply with the rules and guidance set forth in Module BC, particularly the Investment Business Code of Practice ('the Code')

      Amended: October 2013
      Adopted: July 2010