AU-1.1.13
Past version: Effective from 01 Jul 2007 to 30 Jun 2020
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For the purposes of Volume 4 (Investment Business),
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 ; and
g) Operating a collective investment undertaking (i.e. an operator ).
Amended: July 2007