Last Revised Date: 08 October 2018

Guidelines for Conduct of Business for Execution-Related Advice [FAA-G08]

Guidelines on the standards dealers and their representatives are required to adhere to when providing execution-related advice to clients.

These guidelines apply to all dealers and their trading representatives.

They set out the standards that dealers and their trading representatives are expected to comply with when they provide execution-related advice to clients in relation to any capital markets product.

Amendment Notes

08 Oct 2018
FAA-G08 (Amendment) 2018 takes effect.