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Rules of Practice 1994 (S.R. 1994, No. 229)
Requested:  29 Apr 2017
Consolidated as at:  17 Mar 2006

65. Securities

(1) Securities are assets arising from the application of money for investment.
(2) Securities do not include –

(a) assets arising by their deposit or investment with an approved institution; or

(b) assets to be held by, or in the name of, an investor; or

(c) assets to be held by one or more members of a firm, or a body corporate which is not a fund operator, as bare trustee for an investor in accordance with an authority in writing signed by the investor and on behalf of the firm or body corporate identifying the assets and specifying the terms and conditions on which the assets are to be held.


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