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AU-1.4.27

The following are examples of activities which, when taken in isolation, are unlikely to be regarded as an activity of the kind specified in Rule AU-1.4.19:

(a) Appointing professional advisers;
(b) Preparing a prospectus/business plan;
(c) Identifying potential sources of funding;
(d) Assisting investors/subscribers/borrowers to complete and submit application forms; or
(e) Receiving application forms for processing/checking and/or onward transmission.
Amended: July 2007
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Up to Jun 30 2007Jul 1 2007 onwards
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