- 13.2.1. Principle 1 ‐ Integrity
- 13.2.2. Principle 2 ‐ Independence
- 13.2.3. Principle 3 ‐ Good faith
- 13.2.4. Principle 4 ‐ Best Interests
- 13.2.5. Principle 5 ‐ Service
- 13.2.6. Principle 6 ‐ Legal and regulatory obligations
- 13.2.7. Principle 7 ‐ Governance
- 13.2.8. Principle 8 ‐ Client Money and Client Assets
- 16. Definition of Ancillary Service Provider
- 40. Application for a Licence to carry on Ancillary Services
- Guidance: Purpose of this rulebook
- 1.3.1. Definition of Ancillary Service
- 1.3.4. Notifications
- 1.3.6. Withdrawal of an Ancillary Service Provider’s Licence by the AFSA
- 1.3.5. Application to modify or withdraw an Ancillary Service Provider’s Licence
- 1.1. General application rule
- 2.1.1. Form of application
- 2.3. Notification by AFSA to the Registrar of Companies
- 8.1.2. Requirement to maintain run off cover
- 4.1. Effect of breach of AUD
- 3.1.1. What annual supervision fees must be paid
- 1.2 Fees for variation or withdrawal of a Licence
- 7.4.1. General
- 7.4.2. Nature of failure to comply