Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
Definitions and Interpretation
Section A — General
Section B — Market Participants
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
Rule Amendments

Section D — Regulatory Framework
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Contents:
Chapter 11 — Capital and Financial Requirements
11.1 Definitions and Interpretation
11.1A Financial Requirement for Trading Members
11.2 Base Capital Requirement
11.2A Net Liquid Capital
11.3 Financial Resources Requirement
11.4 Aggregate Indebtedness Requirement
11.5 Powers to Impose Other Requirements
11.6 [Rule has been deleted.]
11.7 Exposure to Single Customer
11.7A Other Requirements for Exposure to Single Customer
11.8 Exposure to Single Security
11.8A Other Requirements for Exposure to Single Security
11.9 Margin Financing
11.10 Submission of Returns
11.11 Annual Financial Audit
11.12 Provision in Annual Accounts
11.13 Other Financial Requirements
11.14 Register of Connected Persons
Chapter 12 — Operational Requirements
12.1 Records
12.2 Confidentiality of Customer's Information
12.3 Customer Accounts
12.3A Customer Education
12.4 Trading Authority
12.5 Brokerages and Charges
12.6 Contract Notes
12.7 Statement of Account to Customers
12.8 Amendment of Contract
12.9 Communication with Third Parties
12.10 Payment to Customers
12.10A Customer's Money and Assets
12.11 Customer's and Remisier's Money
12.12 Customer's and Remisier's Assets
12.13 Reporting of Delinquent Accounts
12.14 Separation of Front Office and Back Office Functions
12.15 Stock Account
12.16 [Rule has been deleted.]
12.17 Trading by Employees and Agents
12.18 Compliance Review
12.19 Advertising
12.20 Soft Dollar Commissions
12.21 Use of Office Premises
12.22 Use of Prescribed Forms
12.23 Application of Chapter 12
Chapter 12A — Position Accounts
12A.1 Definitions
12A.2 Position Account Rules apply to Authorized Trading Member
12A.3 Position Accounts carrying positions for more than one beneficial owner
12A.4 Allocation of Trades to Position Accounts
12A.5 Holding trades for different customers in a Position Account and warehousing of trades
Chapter 13 — Trading Practices and Conduct
13.1 Acting as Principal
13.2 Acting as Agent
13.3 Separation of Customer and Proprietary Trading Activities
13.4 Customer Orders — Precedence
13.5 Arrangement with Customers
13.5A Margin Management for Trading Members In Respect of Any Margins from Customers
13.6 Unauthorised Trading
13.7 Excessive Trading
13.8 Market Manipulation and False Market
13.9 Record of Orders
13.10 Order Entry Person
13.11 Responsibility for Orders
13.12 Identification and Password
13.13 Off Premises Broking
13.14 Miscellaneous
Chapter 14 — Supervisory Rules
14.1 Exchange Investigations
14.2 Exchange Inspections
14.3 Disciplinary Action
14.3A Composition by SGX-ST
14.4 Disciplinary Committee
14.5 Disciplinary Committee Powers
14.6 Disciplinary Committee Proceedings
14.7 Appeals Committee
14.8 Appeals
14.9 Appeals Proceedings
14.10 Payment of Costs
14.11 Fine
14.12 Interim Powers of SGX-ST
14.13 Emergency Powers