Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
Chapter 1 General
Chapter 2 Admission and Registration of Trading Members, Chief Executive Officers and Trading Representatives
Chapter 3 Capital and Financial Requirements
Chapter 4 Operational Requirements
Chapter 5 Trading Practices and Conduct
Chapter 6 Designated Market-Makers
Chapter 7 Listing and Quotation
Chapter 8 Trading
Chapter 9 Settlement
Chapter 10 Requirements on Specific Securities and Futures Contracts
Chapter 11 Cancellation of Contracts and Trades
Chapter 12 Supervision and Enforcement
Chapter 13 Definitions and Interpretation
Directives
Regulatory Notices
Practice Notes
Schedule A
CDP Clearing Rules
CDP Settlement Rules
DVP Rules [Entire Rulebook has been deleted]
CDP Depository Rules
Futures Trading Rules
SGX-DC Clearing Rules
SIAC DT Arbitration Rules
SIAC DC Arbitration Rules
Archive
Rule Amendments

  Versions
(1 version)
 
Jun 3 2019 onwards

4.11.1

A Trading Member that outsources any of its operations must:

(a) comply with any guidelines or requirements on outsourcing as prescribed by the Relevant Regulatory Authority. A Remote Trading Member shall immediately inform SGX-ST of any changes to such requirements and comply with such additional requirements as SGX-ST may prescribe;
(b) have in place adequate audit trails of the activities performed by the service provider;
(c) ensure that the service provider provides SGX-ST with any information, including records of the work done by the service provider and any other records maintained by the service provider, that SGX-ST requests within SGX-ST's prescribed timeline;
(d) ensure that the service provider provides SGX-ST access to all relevant records and systems and that SGX-ST is able to perform on-site inspections of the outsourced operations in the same way as if the outsourced operations were residing in the Trading Member and without any costs to SGX-ST;
(e) inform SGX promptly of any disciplinary actions taken against the service provider, or any issues raised by internal or external auditors or any authority that regulates the service provider pertaining to the activities outsourced to the service provider; and
(f) ensure that the internal audit requirements prescribed by SGX-ST are also complied with in relation to the outsourced operations.

Added on 3 June 2019.