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AU-1.1.17

Past version: Effective from 01 Jul 2007 to 30 Jun 2020
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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; and
b) Advising on financial instruments.
Amended: July 2007