AU-A.1.3

Past version: Effective from 01 Jul 2007 to 30 Sep 2021
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Three categories of investment firm license are provided for, depending on the type of regulated investment services undertaken. The requirements in Volume 4 (Investment Business) are tailored in certain respects, according to the license category concerned, in order to address the specific features and risks associated with each type of regulated investment service.

Amended: July 2007