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AU-1.1.13

Past version: effective up to Jun 30 2007.
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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. Custodian)
f) Advising on financial instrumentsG
g) Operating a Collective Investment Undertaking
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Up to Jun 30 2007Jul 1 2007 onwards
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