AU-1 Authorisation Requirements
- AU-1.1 Licensing
- AU-1.2 Approved Persons
- AU-1.3 [This Section deleted 07/2007]
-
AU-1.4 Definition of Regulated Investment Services
- AU-1.4.1
- AU-1.4.2
- General Exclusions
- Dealing in Financial Instruments as Principal
- Dealing in Financial Instruments as Agent
- Arranging Deals in Financial Instruments
- Managing Financial Instruments
- Safeguarding Financial Instruments (i.e. Custodian)
- Advising on Financial Instruments
- Arranging Credit and Advising on Credit
- Operating a Collective Investment Undertaking (i.e. operator)
-
AU-1.5 Definition of Financial Instruments
- Transferable Securities
- Islamic Financial Instruments
- Money-market Instruments
- Holdings in Collective Investment Undertakings
- Derivative Contracts other than Commodity Derivatives
- Derivative Contracts relating to Commodities Settled in Cash
- Derivative Contracts Relating to Commodities
- Credit Derivatives
- Financial Contracts for Differences
- Other Derivative Contracts
- Interests in Real Estate Property
- Certificates Representing Certain Securities
- Rights or Interests in Financial Instruments