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AU-1.1.17

For the purposes of Volume 4 (Investment Business), Category 3 investment firms may undertake (subject to Rules AU-1.1.18 and AU-1.1.19) the following regulated investment services only:

(a) Arranging deals in financial instruments;
(b) Advising on financial instruments; and
(c) Arranging Credit and Advising on Credit.
Amended: July 2020
Added: July 2007