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

Chapter 11 — Capital and Financial Requirements
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Contents:
11.1 Definitions and Interpretation
11.1.1
11.1.2
11.1A Financial Requirement for Trading Members
11.1A.1
11.2 Base Capital Requirement
11.2.1
11.2.2
11.2.3
11.2.4
11.2A Net Liquid Capital
11.2A.1
11.2A.2
11.2A.3
11.2A.4
11.3 Financial Resources Requirement
11.3.1
11.3.2
11.3.3
11.3.4 [Rule has been deleted.]
11.3.5
11.3.6
11.3.7 Early Warning Requirement on Financial Resources
11.3.8
11.3.9 Notification Requirement on Financial Resources
11.3.10
11.3.11 [Rule has been deleted.]
11.4 Aggregate Indebtedness Requirement
11.4.1
11.4.2
11.4.3
11.4.4 Early Warning for Aggregate Indebtedness Requirement
11.4.5
11.4.6 Qualifying Letter of Credit
11.5 Powers to Impose Other Requirements
11.5.1
11.6 [Rule has been deleted.]
11.7 Exposure to Single Customer
11.7.1
11.7.2
11.7.3
11.7.4
11.7.5
11.7A Other Requirements for Exposure to Single Customer
11.7A.1
11.7A.2
11.7A.3
11.8 Exposure to Single Security
11.8.1
11.8.2
11.8.3
11.8.4
11.8.5
11.8.6
11.8.6A
11.8.7
11.8.8
11.8.9
11.8A Other Requirements for Exposure to Single Security
11.8A.1
11.8A.2
11.8A.3
11.9 Margin Financing
11.9.1
11.9.1A
11.9.2
11.9.3
11.9.4
11.9.5
11.9.6
11.9.7 [Rule has been deleted.]
11.9.8
11.9.9
11.9.10
11.9.11
11.9.12 [Rule has been deleted.]
11.9.13
11.9.14
11.9.15
11.9.16
11.10 Submission of Returns
11.10.1
11.10.2
11.10.3
11.10.4
11.11 Annual Financial Audit
11.11.1
11.11.1A
11.11.2
11.11.3
11.11.4
11.12 Provision in Annual Accounts
11.12.1
11.12.2 [Rule has been deleted.]
11.12.3 [Rule has been deleted.]
11.13 Other Financial Requirements
11.13.1 Reduction in Paid-Up Ordinary Share Capital or Paid-Up Irredeemable and Non-Cumulative Preference Share Capital
11.13.2 Preference Shares
11.13.3 Qualifying Subordinated Loan
11.13.4 Making of Unsecured Loan or Advance, Payment of Dividend or Director's Fees or Increase in Director's Remuneration
11.13.5
11.14 Register of Connected Persons
11.14.1