Regulated investment services
Past version: Effective from 18 Jul 2025 to 30 Jun 2007
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Any of the following, as further defined in Section AU-1.4:
a) Dealing in financial instruments as principal
b) Dealing in financial instruments as agent
c) Arranging deals in financial instruments
d) Managing financial instruments
e) Safeguarding financial instruments (i.e. custodian)
f) Advising on financial instruments
g) Operating a collective investment undertaking