Stockbroking - Guidelines | Securities Commission Malaysia

Stockbroking

Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives (pdf)
(Date Issued: 8 April 2008)
(Revised: 7 September 2023)

Summary of Amendments (pdf)
(Date of Issuance: 7 September 2023)

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)

Archive Of Superseded Guidelines – Stockbroking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: 4 April 2022)
Summary of Amendments to the Guidelines (pdf)
Guidelines on Outsourcing for Capital Market Intermediaries
Frequently Asked Questions
Notification on Outsourcing for Capital Market Services Licence Holders (MS Word)
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)
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)

about the SC

The Securities Commission Malaysia (SC) was established on 1 March 1993 under the Securities Commission Act 1993 (SCA). We are a self-funded statutory body entrusted with the responsibility to regulate and develop the Malaysian capital market.

General Line: +603-6204 8000
General Email: [email protected]