RG 33 Security deposits

Issued 25 August 1992

Updated 7 June 1993, 4 July 1994, 28 October 1996, 17 June 2003, 22 June 2004

In this guide we set out our requirements for a security deposit lodged as a condition of the grant of an investment adviser’s or dealer’s licence, or lodged on the grant of registration as a liquidator.

Approved forms of wording for the security deposits are published as Pro Formas 13 and 14 and we set out other relevant matters to assist applicants and registered or licensed persons.

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Last updated: 22/06/2004 12:00