‹ AU-1.1.18 AU-1.1.18B › AU-1.1.18A In assessing the independence of a Category 3 investment firm, the CBB will take into account the regulated investment services offered in relation to financial instruments of a related party. Amended: October 2016 Adopted: April 2008 ‹ AU-1.1.18 AU-1.1.18B ›