Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
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
3. Conduct of Members, Approved Traders and Registered Representatives
3.4 Trading Practices and Conduct Rules of Members, Approved Traders and Registered Representatives
3.4.6 Professional Misconduct
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
Regulatory Notices
Practice Notes
Schedules
SGX-DC Clearing Rules
SIAC DT Arbitration Rules
SIAC DC Arbitration Rules
Archive
Rule Amendments

3.4.6 Professional Misconduct

A Member, Approved Trader or Registered Representative shall not:

(a) permit the use of the Member's facilities or Membership privileges by another Member, Approved Trader or Registered Representative or non-Member in a manner that impairs the dignity or degrades the good name of the Exchange, or creates a market or other situation detrimental to the Exchange, or effectuates manipulations or cornerings or attempts at either, or to itself do any of the foregoing;
(b) engage in any conduct which impairs or tends to impair the dignity or the good name of the Exchange;
(c) commit an act which is substantially detrimental to the interest of the Exchange;
(d) refuse to comply with an order of the Exchange, the Disciplinary Committee or the Appeals Committee;
(e) refuse to comply with a final arbitration award;
(f) fail to answer Customers' complaints promptly and in appropriate detail;
(g) commit any fraudulent or dishonest act or any act of bad faith;
(h) act in a dishonourable or uncommercial manner;
(i) make a material mis-statement to the Exchange, the Disciplinary Committee or the Appeals Committee, or in any information supplied to the Exchange or its officers;
(j) make, or cause to be made, a false or misleading entry in any books, records, reports, slips, documents or statements relating to the business, affairs, transactions, conditions, assets or accounts of the Member;
(k) omit from making, for whatever reason, a material entry in any books, records, reports, slips, documents or statements relating to the business, affairs, transactions, conditions, assets or accounts of the Member;
(l) alter or destroy any books, records, reports, slips, documents or statements relating to the business, affairs, transactions, conditions, assets or accounts of the Member without a valid reason;
(m) make use of or reveal any confidential information obtained by reason of participating in any investigative proceeding or hearing;
(n) refuse to appear before the Exchange, the Disciplinary Committee or the Appeals Committee at a duly convened hearing or in connection with any investigation; or
(o) refuse to fully answer all questions or produce all books and records in relation to any audit, hearing or investigation.