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AU-1.1.13

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

a) Dealing in financial instrumentsG as principal;
b) Dealing in financial instrumentsG as agent;
c) Arranging deals in financial instrumentsG ;
d) Managing financial instrumentsG ;
e) Safeguarding financial instrumentsG (i.e. a custodianG );
f) Advising on financial instrumentsG ; and
g) Operating a collective investment undertakingG (i.e. an operatorG ).
Amended: July 2007
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Up to Jun 30 2007Jul 1 2007 onwards
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