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AU-1.4.15

The activity specified in Rule AU-1.4.11 may also include providing credit, where it is an incidental part of buying, selling, subscribing for or underwritingG financial instrumentsG . However, the amount provided as credit must be paid out of the investment firm licensee'sG capital and not out of clients' assets.

Amended: October 2012
 Versions
(2 Versions)
 
Up to Sep 30 2012Oct 1 2012 onwards
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