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

12.3.1

Without prejudice to any other powers that SGX-ST may have under the Rules, SGX-ST may take any of the following forms of disciplinary action, namely:

(a) to charge the Registered Person before the Disciplinary Committee if SGX-ST is of the opinion that the Registered Person has committed any of the acts for which it may be charged before the Disciplinary Committee as set out in Rule 12.5.1;
(b) to make an offer of composition to the Registered Person if SGX-ST is of the opinion that there has been a violation of the Rules and if the Rule violation is indicated in the third column of Schedule A as a compoundable Rule violation; or
(c) to issue a letter of warning to the Registered Person.

Added on 3 June 2019.