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

Practice Notes
View whole section


Contents:
Practice Note 3.7 and 3.9 Remote Trading Member Exposure to Single Customer and Single Security
1. Introduction
2. Adequate Tools and Procedures
Practice Note 4.2 Direct Market Access And Sponsored Access
1. Introduction
2. Direct Market Access
Practice Note 4.9.3 Conflicts of Interest
1. Introduction
2. Separation of Key Functions
Practice Note 4.10.1(b) Pre Execution Checks
1. Introduction
2. Pre-execution checks
Practice Note 4.10.1(c) Error Prevention Alerts
1. Introduction
2. Error-prevention alerts
Practice Note 4.10.2 Firm Level Monitoring of Capital and Financial Requirements and Prudential Limits
1. Introduction
2. Firm-level monitoring of capital requirements and prudential limits
Practice Note 4.12 Business Continuity Requirements
1. Introduction
2. Business continuity plan
3. Emergency contact persons
Practice Note 4.15.2(a) and (b) Opening of Customer Accounts: Obtaining Adequate Particulars, Verification of Identity, and Verification of Authority to Trade
1. Introduction
2. Individual customer account
3. Corporate/Non-individual customer account
4. Digital Signature
Practice Note 4.15.2(d) Understanding a Customer's Risk Appetite and Investment Objectives
1. Introduction
2. Risk Appetite and Investment Objectives
Practice Note 4.15.3 Additional Safeguards for Trading by Young Investors
1. Introduction
2. Suitability assessment and risk disclosure
3. Supervision
4. Investor Education
Practice Note 4.18 Education for Internet Trading Customers
1. Introduction
2. Information, Guidance and Training
Practice Note 4.24.3(c) Evidence of Informed Consent for Contract Notes in Electronic Form
1. Introduction
2. Evidence of Informed Consent
Practice Note 4.38 Soft Dollar Receipts or Payments
1. Introduction
2. Good and Services that do not qualify as soft dollar receipts or payments
Practice Note 5.7 Precedence of Customer Orders
1. Introduction
2. Application of Rule 5.7.1
3. Interpretation of Rule 5.7.2
Practice Note 5.12 False Trading and Market Rigging
1. Introduction
2. False Trading and Market Rigging
3. Guidance on Rule 5.12.2
4. Conclusion
Practice Note 5.12.3 Transaction with no change in beneficial ownership
1. Introduction
2. Guidance on Rule 5.12.3
Practice Note 5.12.9 Processes for Review of Orders and Trades
1. Introduction
2. Guidance on processes
3 Parameters to assist in detecting suspicious trading behaviour
Practice Note 8.11.1 Designated Instruments
1. Introduction
2. Designation as a regulatory tool
3. Conditions that may be imposed on a Designated Instrument
Practice Note 8.13 and 8.15 Characteristics of Suspension and Trading Halt
1. Introduction
2. Characteristics of a suspension and a 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
1. Introduction
2. Rationale for Rules
3. Circumstances under which SGX-ST may approve 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
1. Introduction
2. Cancellation Procedures for Error Trades
3. Cancellation Procedures for contracts arising from a Trade at Close
Practice Note 11.5.5(c) Alternative Reference Price For No Cancellation Range
1. Introduction
2. Alternative prices
3. Alternative prices unsuitable