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.