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AU-1.1.13

Past version: Effective from 18 Jul 2025 to 30 Jun 2007
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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. Custodian)
f) Advising on financial instruments
g) Operating a Collective Investment Undertaking