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

12.5.7

The Disciplinary Committee may impose one or more of the following sanctions:

(a) expelling a Registered Person. The Disciplinary Committee may order a Registered Person to be expelled notwithstanding that he has resigned;
(b) suspending a Registered Person;
(c) imposing a fine not exceeding S$250,000 per charge on a Registered Person, or in the case of multiple charges, not exceeding S$1,000,000 per hearing;
(d) reprimanding (publicly or privately) a Registered Person;
(e) requiring that a Registered Person undertake an education or compliance programme;
(f) imposing any restrictions or conditions on activities that a Registered Person undertakes;
(g) requiring a Registered Person to pay reimbursement or compensation;
(h) ordering payment of fines by instalments, which shall not exceed 12 months from the date of imposition of the fine, unless otherwise permitted by the Disciplinary Committee;
(i) requiring that any Director or Officer step down from day-to-day conduct of the business affairs of a Trading Member;
(j) confirming, changing or discharging the appointment of a Manager under Rule 2.22.4(c).

Added on 3 June 2019.