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
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
7. Overview of 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

  Versions
(3 versions)
 

7.6.1

The Exchange may initiate disciplinary proceedings and charge a Member, Approved Trader, or Registered Representative before the Disciplinary Committee if the Exchange is of the opinion that the Member, Approved Trader or Registered Representative has committed any of the following:

(a) subject to Rules 7.2.1A(b) and 7.2.1A(g), committed any Rule Violation;
(b) breached any other relevant foreign laws, or regulations which governs the business activities of that Member, Approved Trader or Registered Representative, whether in or out of Singapore;
(c) breached any director's duties;
(d) engaged in any conduct that has the effect of circumventing the Act, relevant applicable laws and regulatory requirements relating to the regulation or business conduct of markets and licenced entities, or this Rules;
(e) engaged in any conduct which is inconsistent with just and equitable principles of trading; or
(f) engaged in any conduct that is detrimental to the financial integrity, reputation or interests of the Exchange, or Markets.

Amended on 1 April 2014 and 3 June 2019.