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AU-1.1.22D

Investment firm licensees wishing to undertake the following regulated investment services involving crypto-assets that fall under the definition of financial instruments must seek the CBB’s prior approval before undertaking such activity:

(a) Dealing in financial instruments as agent;
(b) Arranging deals in financial instruments;
(c) Managing financial instruments;
(d) Safeguarding financial instruments (i.e. a custodian);
(e) Advising on financial instruments; and
(f) Operating a collective investment undertaking (i.e. an operator).

Investment firm licensees must not undertake the activity of dealing in crypto-assets as principal.

Added: January 2024