AU-1.1.13

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For the purposes of Volume 4 (Investment Business), Category 1 investment firms may undertake (subject to Rule AU-1.1.19) any regulated investment service, as listed below:

(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. a custodian;

(f) Advising on financial instruments;

(ff) Arranging Credit and Advising on Credit; and

(g) Operating a collective investment undertaking (i.e. an operator).

Amended: July 2020
Added: July 2007