• Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives (pdf)
    (Date Issued: 8 April 2008)
    (Date Revised: 20 November 2014)

  • 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)
  • 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 Outsourcing for Capital Market Intermediaries