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SGX, stockbroking body set out guidelines on TR advice

The Guidance Note, which outlines the types of advice allowed, gives brokers a heads up to the new rules that will kick in soon
Friday, March 24, 2017 - 05:50

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The Guidance Note also reminded brokers that they cannot give ERA without basis or rationale.

Singapore

THE Singapore Exchange (SGX) and the Securities Association of Singapore (SAS) on Thursday sent brokers a Guidance Note which outlined the type of investment advice that trading representatives (TRs) are allowed to offer their clients, thus clarifying a grey area that has

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