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AU-1.4.44

The following are examples of activities, which may be regarded as an activity as defined by Rule AU-1.4.41:

(a) A person may offer to tell a client when shares reach a certain value on the basis that when the price reaches that value it would be a good time to buy or sell them;
(b) Recommendation on the size or timing of transactions; and
(c) Advice on the suitability of the financial instrumentG , or on the characteristics or performance of the financial instrumentG or credit facility concerned.
Amended: July 2010
Amended: July 2007
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