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When undertaking either of the regulated investment servicesG listed under Rule AU-1.1.17, Category 3 investment firmsG :

a) Must be independent;
b) May not hold any client assetsG ;
c) Must refrain from receiving any fees or commissions from any party other than the clientG ; and
(d) Must not have an 'agency' relationship (tied agent) with an investment provider.
Amended: October 2016
Amended: October 2009
April 2008
Amended: July 2007
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