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

  Versions
(1 version)
 
Jun 3 2019 onwards

Chapter 4 Operational Requirements
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Contents:
4.1 Member Systems
4.1.1
4.2 Direct Market Access and Sponsored Access
4.2.1
4.2.2
4.2.3
4.2.4
4.3 Suspension and Termination of Direct Market Access
4.3.1
4.3.2
4.4 Control of Access
4.4.1
4.5 Responsibility to SGX-ST
4.5.1
4.6 Training and Supervision
4.6.1
4.6.2
4.6.3
4.7 Compliance Review
4.7.1
4.7.2
4.8 Good Business Practice
4.8.1
4.9 Control of Operations
4.9.1
4.9.2
4.9.3
4.10 Risk Management and Financial Controls
4.10.1
4.10.2
4.11 Outsourcing Conditions
4.11.1
4.11.2
4.12 Business Continuity Requirements
4.12.1
4.12.2
4.12.3
4.13 Records for Compliance
4.13.1
4.13.2
4.13.3
4.14 Confidentiality of Customer's Information
4.14.1
4.14.2
4.15 Opening of Customer Accounts
4.15.1
4.15.2
4.15.3
4.15.4
4.15.5
4.16 Risk Disclosure
4.16.1
4.17 Separate Trading Accounts and Account Designation
4.17.1
4.17.2
4.18 Customer Education
4.18.1
4.18.2
4.18.3
4.19 Trading by Employees and Agents
4.19.1
4.19.2
4.20 Arrangements with Remisiers
4.20.1
4.20.2
4.21 Remisiers Working in Teams
4.21.1
4.21.2
4.21.3
4.21.4
4.22 Trading Authority
4.22.1
4.22.2
4.23 Brokerages and Charges
4.23.1
4.23.2
4.24 Contract Notes
4.24.1
4.24.2
4.24.3
4.24.4
4.24.5
4.25 Statements of Account to Customers
4.25.1
4.25.2
4.26 Amendment of Contract
4.26.1
4.26.2
4.27 Communication with Customers
4.27.1
4.27.2
4.27.3
4.27.4
4.28 Payment to Customers
4.28.1
4.28.2
4.28.3
4.29 Segregation of Customer's and Remisier's Monies and Assets
4.29.1
4.29.2
4.29.3
4.29.4
4.30 Segregation of Customer's and Remisier's Monies and Assets — Monies
4.30.1
4.30.2
4.30.3
4.30.4
4.30.5
4.30.6
4.30.7
4.31 Segregation of Customer's and Remisier's Monies and Assets — Assets
4.31.1
4.31.2
4.31.3
4.31.4
4.31.5
4.31.6
4.31.7
4.32 Reporting of Delinquent Accounts
4.32.1
4.32.2
4.33 Stock Account
4.33.1
4.33.2
4.33.3
4.34 Position Accounts
4.34.1
4.34.2
4.34.3
4.34.4
4.34.5
4.35 Broker-linked Balances
4.35.1
4.35.2
4.35.3
4.35.4
4.35.5
4.35.6
4.35.7
4.36 Advertising
4.36.1
4.36.2
4.37 Use of Office Premises
4.37.1
4.38 Soft Dollar Commissions
4.38.1
4.38.2
4.39 Research and Corporate Finance Activities
4.39.1
4.39.2
4.39.3
4.39.4
4.39.5
4.39.6
4.39.7
4.39.8
4.39.9
4.39.10
4.39.11
4.40 Application of Chapter 4 to Remote Trading Member
4.40.1