Custom print

AU-1.1.18

Past version: Effective from 01 Oct 2009 to 30 Sep 2016
To view other versions open the versions tab on the right

When undertaking either of the regulated investment services listed under Rule AU-1.1.17, Category 3 investment firms:

a) Must be independent;
b) May not hold any client assets; and
c) Must refrain from receiving any fees or commissions from any party other than the client.
Amended: October 2009
April 2008
Amended: July 2007