Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
Chapter 1 General
Chapter 2 Admission and Registration of Trading Members, Chief Executive Officers and Trading Representatives
Chapter 3 Capital and Financial Requirements
Chapter 4 Operational Requirements
Chapter 5 Trading Practices and Conduct
Chapter 6 Designated Market-Makers
Chapter 7 Listing and Quotation
Chapter 8 Trading
Chapter 9 Settlement
Chapter 10 Requirements on Specific Securities and Futures Contracts
Chapter 11 Cancellation of Contracts and Trades
Chapter 12 Supervision and Enforcement
Chapter 13 Definitions and Interpretation
Directives
Regulatory Notices
Practice Notes
Schedule A
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
Rule Amendments

SGX-ST Rules
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Contents:
Chapter 1 General
1.1 Application of Rules
1.2 Waivers or Variation
1.3 Rules, Directives and Regulatory Notices
1.4 Practice Notes
1.5 Transitional Arrangements
1.6 Order of Precedence
1.7 Delegation and Assignment
1.8 SGX RegCo's Authority
1.9 Limitation of Liability
1.10 Indemnity
1.11 Provision of Information
1.12 Disclosure of Information by SGX-ST
1.13 Registers
1.14 Fidelity Fund
1.15 Governing Law and Jurisdiction
Chapter 2 Admission and Registration of Trading Members, Chief Executive Officers and Trading Representatives
2.1 Trading Member Admission Criteria
2.2 Application Procedures
2.3 Appeals
2.4 Register of Trading Members
2.5 Trading Rights
2.6 Appointment and Registration of Chief Executive Officer
2.7 De-Registration of Chief Executive Officer
2.8 Appointment and Registration of Trading Representatives
2.9 De-Registration of Trading Representative
2.10 Compliance
2.11 Payment
2.12 Constitutional Documents
2.13 Business Name/Contact Details
2.14 Board of Directors
2.15 Directorship of SGX-ST Listed Company
2.16 Change in Control
2.17 Other Businesses
2.18 Reporting of Adverse Events
2.19 Voluntary Liquidation
2.20 Cessation of Trading Rights
2.21 Action against Defaulters
2.22 Suspension and Restriction of Activities
2.23 Termination of Membership
2.24 Notification and Appeal
2.25 Voluntary Suspension of Business
2.26 Resignation
2.27 Obligations of a Former Trading Member, Former Chief Executive Officer and Former Trading Representative
Chapter 3 Capital and Financial Requirements
3.1 Interpretation
3.2 Base Capital Requirement
3.3 Financial Resources Requirement
3.4 Aggregate Indebtedness Requirement
3.5 Powers to Impose Other Requirements
3.6 Exposure to Single Customer
3.7 Remote Trading Member: Exposure to Single Customer
3.8 Exposure to Single Security
3.9 Remote Trading Members: Exposure to Single Security
3.10 Margin Financing
3.11 Borrowing and Lending of Specified Products
3.12 Submission of Returns
3.13 Annual Financial Audit
3.14 Provision in Annual Accounts
3.15 Other Financial Requirements
Chapter 4 Operational Requirements
4.1 Member Systems
4.2 Direct Market Access and Sponsored Access
4.3 Suspension and Termination of Direct Market Access
4.4 Control of Access
4.5 Responsibility to SGX-ST
4.6 Training and Supervision
4.7 Compliance Review
4.8 Good Business Practice
4.9 Control of Operations
4.10 Risk Management and Financial Controls
4.11 Outsourcing Conditions
4.12 Business Continuity Requirements
4.13 Records for Compliance
4.14 Confidentiality of Customer's Information
4.15 Opening of Customer Accounts
4.16 Risk Disclosure
4.17 Separate Trading Accounts and Account Designation
4.18 Customer Education
4.19 Trading by Employees and Agents
4.20 Arrangements with Remisiers
4.21 Remisiers Working in Teams
4.22 Trading Authority
4.23 Brokerages and Charges
4.24 Contract Notes
4.25 Statements of Account to Customers
4.26 Amendment of Contract
4.27 Communication with Customers
4.28 Payment to Customers
4.29 Segregation of Customer's and Remisier's Monies and Assets
4.30 Segregation of Customer's and Remisier's Monies and Assets — Monies
4.31 Segregation of Customer's and Remisier's Monies and Assets — Assets
4.32 Reporting of Delinquent Accounts
4.33 Stock Account
4.34 Position Accounts
4.35 Broker-linked Balances
4.36 Advertising
4.37 Use of Office Premises
4.38 Soft Dollar Commissions
4.39 Research and Corporate Finance Activities
4.40 Application of Chapter 4 to Remote Trading Member
Chapter 5 Trading Practices and Conduct
5.1 Principal to other Trading Member
5.2 Contracts
5.3 Qualification by a Clearing Member
5.4 Acting as Principal to Customer
5.5 Acting as Agent to Customer
5.6 Separation of Customer and Proprietary Trading Activities
5.7 Precedence of Customer Orders
5.8 Arrangement with Customers
5.9 Customer Margin Management for Trading Members
5.10 Unauthorised Trading
5.11 Excessive Trading
5.12 Prohibited Trading Conduct
5.13 Record of Orders
5.14 Dealing Assistant
5.15 Responsibility for Orders
5.16 Identification and Password
5.17 Miscellaneous
Chapter 6 Designated Market-Makers
6.1 Registration Criteria
6.2 Application Procedures
6.3 Appeals
6.4 Register of Designated Market-Makers
6.5 Proprietary Accounts
6.6 Obligations of a Designated Market-Maker
6.7 Suspension or Restriction of Trades in Specified Instruments
6.8 Suspension and Restriction of Activities
6.9 Revocation of Registration
6.10 Notification of Action and Appeal
6.11 Resignation
6.12 Obligations of a Former Designated Market-Maker
Chapter 7 Listing and Quotation
7.1 The Official List
7.2 Non-Listed Securities Traded on SGX-ST
7.3 Futures Contracts Traded on SGX-ST
Chapter 8 Trading
8.1 Trading
8.2 Trading Hours, Market Phases and Rules for Trading Matching
8.3 Closing Price of Prescribed Instrument
8.4 Contingency Order Withdrawal
8.5 Orders
8.6 Trading Basis of Securities
8.7 Marking of Sell Orders
8.8 Publication of Report of Short Sell Orders
8.9 Reporting of Erroneously Marked Sell Orders
8.10 Direct Business
8.11 Designated Instruments
8.12 Corner
8.13 Suspension and Restriction of Trading
8.14 Circuit Breakers and Cooling-Off Periods
8.15 Trading Halts
8.16 Emergency Powers
Chapter 9 Settlement
9.1 Mode of Settlement for Trades Cleared by CDP
9.2 Settlement Basis and Eligibility for Clearing by CDP
9.3 Mode of Settlement for Trades Not Cleared by CDP
9.4 Relationship Between Trading Member and Selling Customer
9.5 Relationship Between Trading Member and Clearing Member
9.6 Relationship Between Trading Member and Buying Customer
Chapter 10 Requirements on Specific Securities and Futures Contracts
Marginable Futures Contracts
American Depository Receipts
Chapter 11 Cancellation of Contracts and Trades
11.1 Cancellation of Contracts
11.2 Error Trades
11.3 Procedures for Cancellation
11.4 Error Trade Cancellations
11.5 No-Cancellation Range
Chapter 12 Supervision and Enforcement
12.1 Investigations by SGX-ST
12.2 Inspections by SGX-ST
12.3 Disciplinary Action
12.4 Composition by SGX-ST for Rule Violation
12.5 Disciplinary Committee
12.6 Appeals Committee
12.7 Fine
12.8 Payment of Costs
12.9 Confidentiality
12.10 Irregularities
12.11 Exclusion of Liability
Chapter 13 Definitions and Interpretation
13.1 Definitions
13.2 Interpretation
Directives
Regulatory Notices
Regulatory Notice 4.1 — Adequacy of Systems
Regulatory Notice 4.13.1 — Audit Trails and Records
Regulatory Notice 4.13, 4.16, 4.24, 4.25 and 4.29 — Operational Requirements for Remote Trading Members
Regulatory Notice 4.24.1 — Contract Notes
Regulatory Notice 4.34.4 and 4.34.5 — Allocation of Trades to Position Accounts
Regulatory Notice 8.2.1 — Trading Hours, Market Phases, Application of Market Phases and Principles and Rules for Trade Matching
Regulatory Notice 8.3 — Closing Price of Prescribed Instrument
Regulatory Notice 8.4 — Procedures for Contingency Order Withdrawal
Regulatory Notice 8.5.2 — Minimum Bid Size
Regulatory Notice 8.7 and 8.9 — Obligations of Trading Members to Mark Sell Orders
Regulatory Notice 8.14.1 — Circuit Breaker
Regulatory Notice 11.4.2(d) — Computation of Monetary Loss
Regulatory Notice 11.4.2(g) — Application of the Force Key
Practice Notes
Practice Note 3.7 and 3.9 Remote Trading Member Exposure to Single Customer and Single Security
Practice Note 4.2 Direct Market Access And Sponsored Access
Practice Note 4.9.3 Conflicts of Interest
Practice Note 4.10.1(b) Pre Execution Checks
Practice Note 4.10.1(c) Error Prevention Alerts
Practice Note 4.10.2 Firm Level Monitoring of Capital and Financial Requirements and Prudential Limits
Practice Note 4.12 Business Continuity Requirements
Practice Note 4.15.2(a) and (b) Opening of Customer Accounts: Obtaining Adequate Particulars, Verification of Identity, and Verification of Authority to Trade
Practice Note 4.15.2(d) Understanding a Customer's Risk Appetite and Investment Objectives
Practice Note 4.15.3 Additional Safeguards for Trading by Young Investors
Practice Note 4.18 Education for Internet Trading Customers
Practice Note 4.24.3(c) Evidence of Informed Consent for Contract Notes in Electronic Form
Practice Note 4.38 Soft Dollar Receipts or Payments
Practice Note 5.7 Precedence of Customer Orders
Practice Note 5.12 False Trading and Market Rigging
Practice Note 5.12.3 Transaction with no change in beneficial ownership
Practice Note 5.12.9 Processes for Review of Orders and Trades
Practice Note 8.11.1 Designated Instruments
Practice Note 8.13 and 8.15 Characteristics of Suspension and Trading Halt
Practice Note 8.13.4 and 8.15.7 Approval of Off-Market Trades in a Security or Futures Contract Subject to Suspension or Trading Halt
Practice Note 9.6.4(b) Money Received on Account of Customer
Practice Note 11.1.2 and 11.3 Trade Cancellation Procedures
Practice Note 11.5.5(c) Alternative Reference Price For No Cancellation Range
Schedule A
Chapter 1 General
Chapter 2 Admission and Registration of Trading Members, Chief Executive Officers and Trading Representatives
Chapter 3 Capital and Financial Requirements
Chapter 4 Operational Requirements
Chapter 5 Trading Practices and Conduct
Chapter 6 Designated Market-Maker ("DMM")
Chapter 7 Listing and Quotation
Chapter 8 Trading
Chapter 9 Settlement
Chapter 10 Requirements on Specific Securities and Futures Contracts
Chapter 11 Cancellation of Contracts and Error Trades
Chapter 12 Supervision and Enforcement