Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
Definitions and Interpretation
Section A — General
Section B — Market Participants
Chapter 4 — Trading Members
Section C — Market Structure
Section D — Regulatory Framework
Section E — Other Business Activities
Section F — Transitional Provisions
Directives
Practice Notes
Schedules
CDP Clearing Rules
DVP Rules
CDP Depository Rules
Futures Trading Rules
SGX-DC Clearing Rules
SIAC DT Arbitration Rules
SIAC DC Arbitration Rules
Archive
Rule Amendments

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4.6.9 Reporting

A Trading Member must inform SGX-ST in writing immediately if it or any of its Directors, Officers, Trading Representatives, employees, or agents:—

(1) breaches the Securities and Futures Act or Securities and Futures Regulations or any other relevant applicable laws and regulatory requirements relating to the regulation of organised markets and licenced entities;
(2) breaches the Rules or Directives;
(3) breaches any relevant law or regulation which governs that person's other business activities;
(4) breaches the rules of any other exchange;
(5) breaches any provision involving fraud or dishonesty, whether in or out of Singapore;
(6) breaches director's duties;
(7) is the subject of a written complaint involving an allegation of fraud or dishonesty, whether in or out of Singapore;
(8) is the subject of an investigation involving an allegation of fraud or dishonesty, whether in or out of Singapore;
(9) is the subject of any disciplinary action taken by the Trading Member involving suspension, termination, withholding of commissions, fines or any other significant limitation of activities;
(10) engages in conduct that has the effect of circumventing the Securities and Futures Act, Securities and Futures Regulations, any other relevant applicable laws and regulatory requirements relating to the regulation of markets and licenced entities, the Rules, or Directives;
(10A) has had its licence to conduct the relevant regulated activities suspended, revoked, or expired, or in the case where it is exempted from holding a licence, the Relevant Regulatory Authority withdraws the exemption or imposes conditions or restrictions on it in respect of the relevant regulated activities;
(11) engages in conduct which is inconsistent with the principles of good business practice;
(12) engages in conduct detrimental to the financial integrity, reputation or interests of SGX-ST , or markets established or operated by SGX-ST; or
(13) is insolvent, or has been issued a bankruptcy or winding up proceeding.

Notwithstanding the foregoing, SGX-ST may require a Trading Member to inform SGX-ST from time to time in respect of any other matters and in such form as SGX-ST determines.

Amended on 19 May 2014 and 8 October 2018.