AU-1.4 Definition of Regulated Investment Services
- AU-1.4.1
- AU-1.4.2
- General Exclusions
- Dealing in Financial Instruments as Principal
- Dealing in Financial Instruments as Agent
- Arranging Deals in Financial Instruments
- Managing Financial Instruments
- Safeguarding Financial Instruments (i.e. Custodian)
- Advising on Financial Instruments
- Arranging Credit and Advising on Credit
- Operating a Collective Investment Undertaking (i.e. operator)