Rulebooks: Contents

Rulebooks
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CDP Clearing Rules
CDP Settlement Rules
DVP Rules [Entire Rulebook has been deleted]
CDP Depository Rules
Futures Trading Rules
Chapter 1 General Matters
Chapter 2 Access and Membership
Chapter 3 Conduct of Members, Approved Traders and Representatives
Chapter 4 Listing and Trading of Contracts
Chapter 5 Physical Delivery
Chapter 6 Dispute Resolution and Arbitration
Chapter 7 Adverse Events, Rule Violations and Disciplinary Action
Chapter 8 Definitions and Interpretation
Chapter 9 Transitional Provisions
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SGX-DC Clearing Rules
SIAC DT Arbitration Rules
SIAC DC Arbitration Rules
Archive
Rule Amendments

  Versions
(2 versions)
 
Up to Mar 31 2014Apr 1 2014 onwards

3.2.4 Other Reporting Obligations of Members

A Member shall inform the Exchange in writing immediately if the Member, or any of its Approved Traders, Registered Representatives, directors, officers or employees, as the case may be:

(a) breaches any provisions of the Act, this Rules or any applicable laws (foreign or local) governing the Member's activities;
(b) breaches any rules of any other exchange or market (foreign or local) which has jurisdiction over the activities of the Member, its Approved Traders, Registered Representatives, directors, officers or employees;
(c) breaches any provision involving fraud or dishonesty, whether in or out of Singapore;
(d) breaches any director's duties as contemplated under common law or otherwise;
(e) is the subject of a written complaint or investigation involving an allegation of fraud or dishonesty, whether in or out of Singapore;
(f) is the subject of any disciplinary action taken by the Member involving suspension, termination, withholding of commissions, fines or any other significant limitation of activities;
(g) engages in conduct that has the effect of circumventing the Act, other relevant applicable laws and regulatory requirements relating to the regulation of markets and licenced entities or this Rules;
(h) engages in conduct which is inconsistent with the principles of good business practice;
(i) engages in conduct which is detrimental to the financial integrity, reputation or interests of the Exchange or the Markets; or
(j) is insolvent, or is the subject of bankruptcy or winding up proceedings.

The reporting obligations under this Rule 3.2.4 apply whenever any of the abovementioned events occurs, or threatens to occur.

Amended on 1 April 2014.