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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

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


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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