Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
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
SGX-ST Rules
Rule Amendments

16.4.1

A Trading Member's corporate finance activities must be separate from its dealing, research and back office operations. Separation means at least having the following:—

(1) separate reporting lines in place between the corporate finance activities and the other activities;
(2) restriction of communication and information flow between the corporate finance activities and the other activities to avoid leakage of sensitive information;
(3) adequate procedures to avoid any conflict of interest that may arise from the corporate finance activities and the other activities; and
(4) access into the corporate finance department be restricted only to the corporate finance staff and any other authorised staff of the Trading Member.