PRU 6.1.1

This Chapter applies to an Authorised Person as follows:

(a) Sections 6.1 to 6.9 apply to an Authorised Person in any Category;
(b) Sections 6.10 and 6.11 apply only to an Authorised Person in Category 1, 2, 3A or 5;
(c) Section 6.12 applies only to an Authorised Person in Category 3B, 3C or 4 which undertakes one or more of the following Regulated Activities:
(i) Arranging Credit;
(ii) Arranging Deals in Investments;
(iii) Managing Assets;
(iv) Advising on Investments or Credit;
(v) Managing a Collective Investment Fund;
(vi) Providing Custody;
(vii) Insurance Intermediation;
(viii) Insurance Management;
(ix) Managing a Profit Sharing Investment Account (unrestricted);
(x) Providing Trust Services;
(xi) Acting as the Administrator of a Collective Investment Fund;
(xii) Acting as the Trustee of an Investment Trust;
(xiii) Operating a Multilateral Trading Facility or Organised Trading Facility; or
(xiv) Providing Money Services; or
(xv) Operating a Private Financing Platform.