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  • PRU 10.1 PRU 10.1 Application

    • PRU 10.1.1

      This Chapter applies to an Authorised Person in Category 1, 2, 3A, 3B, 3C or 5 as follows:

      (a) Sections 10.1, 10.2, 10.3 and 10.5 apply only to an Authorised Person in Category 1, 2, 3A, 3B, 3C or 5; and
      (b) Sections 10.4 and 10.6 apply only to an Authorised Person in Category 1, 2, 3A or 5.

    • PRU 10.1.2

      Where an Authorised Person to which this Chapter applies is part of a Financial Group, this Chapter applies on a consolidated basis in relation to all the entities within the Financial Group.

    • PRU 10.1.3 PRU 10.1.3

      In implementing the requirements prescribed in this Chapter, an Authorised Person must give due and appropriate regard to the provisions in App11.

      • Guidance

        If an Authorised Person is part of a Financial Group which is already subject to requirements similar to those prescribed in this Chapter, the Regulator may consider a request for a waiver or modification in relation to the requirements of this Chapter.