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
Chapter 12 — Operational Requirements
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 12 — Operational Requirements
View whole section


Contents:
12.1 Records
12.1.1
12.1.2
12.1.3
12.2 Confidentiality of Customer's Information
12.2.1
12.2.2
12.3 Customer Accounts
12.3.1 Individual Customer Account
12.3.2 Corporate Customer Account
12.3.3 Agency Customer Account
12.3.4 Joint Customer Account
12.3.5 Approval of Customer Accounts
12.3.6 Risk Acknowledgement Statement
12.3.7 Separate Trading Accounts and Account Designation
12.3.8
12.3.9 [Rule has been deleted.]
12.3A Customer Education
12.3A.1
12.4 Trading Authority
12.4.1
12.5 Brokerages and Charges
12.5.1
12.5.2
12.6 Contract Notes
12.6.1
12.6.2
12.6.3
12.6.4
12.6.5
12.6.6
12.6.5
12.7 Statement of Account to Customers
12.7.1
12.7.2
12.7.3
12.7.4
12.7.5
12.8 Amendment of Contract
12.8.1
12.8.2
12.8.3
12.9 Communication with Third Parties
12.9.1
12.9.2
12.10 Payment to Customers
12.10.1
12.10.2
12.10A Customer's Money and Assets
12.10A.1
12.10A.2
12.11 Customer's and Remisier's Money
12.11.1
12.11.2
12.11.3
12.11.4
12.11.5
12.11.6
12.11.7
12.11.8
12.12 Customer's and Remisier's Assets
12.12.1
12.12.2
12.12.3
12.12.4
12.12.5
12.12.6
12.12.7
12.12.8
12.12.9
12.13 Reporting of Delinquent Accounts
12.13.1
12.14 Separation of Front Office and Back Office Functions
12.14.1
12.15 Stock Account
12.15.1
12.15.2
12.15.3
12.16 [Rule has been deleted.]
12.16.1 [Rule has been deleted.]
12.16.2 [Rule has been deleted.]
12.16.3 [Rule has been deleted.]
12.16.4 [Rule has been deleted.]
12.17 Trading by Employees and Agents
12.17.1
12.17.2
12.17.3
12.17.4
12.17.5
12.17.6
12.18 Compliance Review
12.18.1
12.18.2
12.19 Advertising
12.19.1
12.19.2
12.20 Soft Dollar Commissions
12.20.1
12.20.2
12.21 Use of Office Premises
12.21.1
12.22 Use of Prescribed Forms
12.22.1
12.23 Application of Chapter 12
12.23.1
12.23.2