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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 Amendment to the Guidelines

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

Archive Of Superseded Guidelines – Stockbroking
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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