Guidelines on Market Conduct and Business Practices for Stockbrokers and Licensed Representatives (pdf) (Date Issued: 8 April 2008)
Guidelines on Dealing in Unlisted Securities by a Universal Broker (pdf) (Date Issued: 30 October 2002)
Practice Note 1 - Application of the Guidelines to Cross-Selling of Unlisted Debt Securities to Eligible Individuals by Dealer's Representatives Not Certified by PPKM (pdf) (Date Issued: 12 July 2005)
Guidelines on Investment Banks (pdf) (Date Issued: 1 July 2005)
Guidelines on the Establishment of Electronic Access Facilities by a Universal Broker (pdf) (Amended as at 5 November 2004)
Practice Note 1 (pdf) (Amended as at 5 November 2004)
Guidelines for a Universal Broker (pdf) (Amended as at 23 November 2004)
Guidelines on the Establishment and Location of a Branch Office by a Universal Broker and a Non-universal Broker (pdf) (Amended as at 5 November 2004)
Practice Note 1 - Flexibilities Granted to Stockbroking Companies in Relation to Branch Offices and Branching Policy for the Year 2002 and Beyond (pdf) (Amended as at 5 November 2004)
Guidelines on Chinese Walls for Dealers and Futures Brokers (pdf) (Date Issued: 11 May 2006)
Member Readiness Checklist for a Universal Broker (pdf) (Date Issued: 02 October 2000)
Guidelines on Electronic Contract Notes (pdf) (Date Issued: 28 April 2005) (Date Revised: 18 November 2008)
Guidelines on Performance of Supervision Functions at Group Level for Capital Market Intermediaries (pdf) (Date Issued: 29 June 2005) (Date Revised: 2 March 2006)
Guiding Principles for Outsourcing of Back Office Functions for Capital Market Intermediaries (pdf) (Date Issued: 29 June 2005) (Date Revised: 2 March 2006)
