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

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.