Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
CDP Clearing Rules
DVP Rules
CDP Depository Rules
Futures Trading Rules
Chapter 1 General Matters
Chapter 2 Access and Membership
Chapter 3 Conduct of Members, Approved Traders and Representatives
Chapter 4 Listing and Trading of Contracts
Chapter 5 Physical Delivery
Chapter 6 Dispute Resolution and Arbitration
Chapter 7 Adverse Events, Rule Violations and Disciplinary Action
Chapter 8 Definitions and Interpretation
Chapter 9 Transitional Provisions
Regulatory Notices
Practice Notes
Schedules
SGX-DC Clearing Rules
SIAC DT Arbitration Rules
SIAC DC Arbitration Rules
Rule Amendments

3. Conduct of Members, Approved Traders and Registered Representatives
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Contents:
3.1 Overview
3.2 Duties Applicable to All Members, Approved Traders and Registered Representatives
3.2.1 General Duties of Integrity, Fair Dealing and Care
3.2.2 Constitutive Documents
3.2.3 Reporting of Change in Member's Circumstances
3.2.4 Other Reporting Obligations of Members
3.2.5 Prohibitions on Conduct of Other Business
3.2.6 Settlement of Margins Due
3.2.7 Speculative Long and Short Positions for the Same Contract Month
3.2.8 Advertising Guidelines
3.3 Duties of Members Undertaking Agency Trades
3.3.1 Customer Account and Know-Your-Customer Requirements
3.3.2 Management Approval Required for Opening Customer Accounts
3.3.3 Risk Disclosure Statement
3.3.4 Customer Instructions and Power of Attorney
3.3.5 Customer Education
3.3.6 Orders Only Via Registered Representatives
3.3.7 Accepting Orders without Executing
3.3.8 Recording of Orders
3.3.8A Preventing Unauthorised Changes to Order Information
3.3.9 Customer's Statement of Account and Contract Note
3.3.10 Segregation of Customers' Monies and Assets and Fiduciary Obligations
3.3.11 Trading or Accepting Customer's Monies or Assets After Insolvency
3.3.12 Customer Margins
3.3.13 [Deleted]
3.3.14 Inter-Exchange Cross Margining
3.3.15 Transfer of Error Trades to House Account
3.3.16 Transfer of Unsuccessful Give-Up Trades to House Account
3.3.16A Separate Accounts
3.3.17 Reporting of Account Identity
3.3.18 Reporting of Open Positions
3.3.19 Omnibus Accounts
3.3.20 Limits on Omnibus Accounts
3.3.21 Disclosures Relating to Omnibus Accounts
3.3.22 Audit Trail
3.3.23 Record Keeping
3.3.23A Register of Securities
3.3.24 IT and Data Security Requirements
3.3.25 ID Tags and Passwords
3.3.26 Computations of Financial and Capital Requirements
3.3.27 Submission of Financial Statements and Other Information to the Exchange
3.3.28 Certification by Auditor
3.3.29 Reporting Obligations of Auditors
3.3.30 Change of Auditors
3.3.31 Prohibition Against General Trading Member Acting as Guarantor
3.3.32 Foreign Branch of General Trading Member
3.3.33 Application of Rule 3.3
3.4 Trading Practices and Conduct Rules of Members, Approved Traders and Registered Representatives
3.4.1 Market Manipulation
3.4.2 Churning
3.4.3 False Trading, Bucketing, Fraudulent Inducement to Trade and Employment of Fraudulent Device
3.4.3A Duty to Monitor for Trading Misconduct
3.4.4 Duty to Inform Exchange of Prohibited Trading Practices
3.4.5 Dissemination of False or Misleading Information
3.4.6 Professional Misconduct
3.4.7 Disclosing Orders Prohibited
3.4.8 Good Faith Bids and Offers.
3.4.9 Fictitious Transactions Without Change In Ownership
3.4.10 Overtrading by a Member, Approved Trader or Customer
3.4.11 Knowingly Taking Advantage of an Error Prohibited
3.4.12 Deemed Rule Violations
3.4.13 Front Running — Priority of Customers' Orders
3.4.14 Trading Against Customers' Orders Prohibited
3.4.15 Prohibited Conduct
3.5 Inspection and Audit
3.5.1 Scope of Inspection and Audit Rights
3.5.2 Access and Cooperation
3.5.3 Use of Report and Costs