AU Authorisation
- AU-A Introduction
- AU-B Scope of Application
- AU-1 Authorisation Requirements
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AU-2 Licensing Conditions
- AU-2.1 Condition 1: Legal Status
- AU-2.2 Condition 2: Mind and Management
- AU-2.3 Condition 3: Controllers and Close Links
- AU-2.4 Condition 4: Board and Employees
- AU-2.5 Condition 5: Financial Resources
- AU-2.6 Condition 6: Systems and Controls
- AU-2.7 Condition 7: External Auditors
- AU-2.8 Condition 8: Other Requirements
- AU-3 Approved Persons Conditions
- AU-4 [This Chapter deleted 07/2007]
- AU-5 Information Requirements and Processes
- AU-6 License Fees
- Appendix AU-1: Requirements for Regulated Investment Services Involving Crypto Assets