Amendment To The Guidelines On Market Conduct And Business Practices For Stockbroking Companies And Licensed Representatives Which Were Issued On 20 November 2014

The following is the amendment to the Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives which were issued on 20 November 2014:

Reference in the Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives		Comments
Prior to 20 November 2014	Based on update issued on 20 November 2014	Comments
Paragraph 7.0: Discretionary Accounts	Paragraph 7.0: Discretionary Trades	Amended to clarify the control measures needed in place for a dealer’s representative of a stockbroking company to carry out discretionary trading on behalf of his customers.

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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.

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