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AU-1.4.2

For the purposes of Volume 4 (Investment Business), carrying on a regulated investment service by way of business means:

(a) Undertaking one or more of the activities listed under Paragraph AU-1.1.13 on a professional basis and for commercial gain;
(b) Holding oneself out as willing and able to engage in that activity; or
(c) Regularly soliciting other persons to engage in transactions constituting that activity.
Amended: October 2012
Amended: July 2007