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Regulated investment services

Any of the following, as further defined in Volume 4 (Investment Business) 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; and
(g) Operating a collective investment undertaking (i.e. an operator).
Added: April 2012