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AU-1.3.3

For the purposes of Rule AU-1.3.1, carrying on a regulated financing company service by way of business means:

(a) Undertaking the regulated financing company service of (a), plus any of the activities (b) to (d), as defined in Section AU-1.3, for commercial gain;
(b) Holding oneself out as willing and able to engage in such activities; or
(c) Regularly soliciting other persons to engage in transactions constituting such activities.
January 2013