AU-1.1.18
When undertaking either of the
a) Must be independent;
b) May not hold any client assets ;
c) Must refrain from receiving any fees or commissions from any party other than the client ; and
(d) Must not have an 'agency' relationship (tied agent) with an investment provider.
Amended: October 2016
Amended: October 2009
April 2008
Amended: July 2007
Amended: October 2009
April 2008
Amended: July 2007