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REGULATION
Guidelines
Stockbroking
Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives (pdf)
(Date Issued: 8 April 2008)
(Date Revised: 20 May 2021)
Summary of Amendments to the Guidelines (pdf)
Guidance Note on Oversight of Licensed Representatives by Stockbroking Companies (pdf)
(Date Issued: 30 September 2021)
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 for a Universal Broker (pdf)
(Amended as at 23 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
Frequently Asked Questions
Notification on Outsourcing for Capital Market Services Licence Holders (MS Word)
Archive Of Superseded Guidelines – Stockbroking
Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives (pdf)
(Date Issued: 8 April 2008)
(Date Revised: 20 November 2014)
Summary of Amendments to the Guidelines
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 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)
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