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  • Category 1

    • AU-1.1.13

      For the purposes of Volume 4 (Investment Business), Category 1 investment firms may undertake (subject to Rule AU-1.1.19) any regulated investment service, as listed below:

      a) Dealing in financial instruments as principal;
      b) Dealing in financial instruments as agent;
      c) Arranging deals in financial instruments;
      d) Managing financial instruments;
      e) Safeguarding financial instruments (i.e. a custodian);
      f) Advising on financial instruments; and
      g) Operating a collective investment undertaking (i.e. an operator).
      Amended: July 2007

    • AU-1.1.14

      [This Paragraph was moved and amended to Paragraph AU-1.4.11A in January 2012].

      Amended: January 2012
      Amended: July 2007

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