‹ Dealing in Financial Instruments as Principal AU-1.4.11A › AU-1.4.11 Dealing in financial instruments as principal means buying, selling, subscribing for or underwriting any financial instrument on own account, including underwritingtransactions. Amended: October 2014 Amended: October 2012 Amended: October 2009 ‹ Dealing in Financial Instruments as Principal AU-1.4.11A ›