Regulated investment services
Any of the following, as further defined in Section AU-1.4:
(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. custodian);
(f) Advising on financial instruments ; and
(g) Operating a collective investment undertaking (i.e. an operator ).
Amended: January 2011
Amended: July 2007
Amended: July 2007