Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
SGX-ST Rules
CDP Clearing Rules
CDP Settlement Rules
DVP Rules [Entire Rulebook has been deleted]
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
Archive
Rule Amendments

  Versions
(2 versions)
 
May 16 2011 - Sep 18 2016Sep 19 2016 onwards

Chapter 4 — Listing and Trading of Contracts

Past version: effective from May 16 2011 - Sep 18 2016.
To view other versions open the versions tab on the right.

Rule Violation Whether composition may be offered Composition Amount which may be Offered by the Exchange, where the Exchange has Determined the Member, Approved Trader and/or Registered Representative to be Liable Mandatory minimum penalty imposable by the DC
Rule Chapter/Number Brief Description of Rule Members Approved Traders Registered Representatives
1st Violation 2nd Violation 3rd Violation 1st Violation 2nd Violation 3rd Violation 1st Violation 2nd Violation 3rd Violation
Chapter 4 — Listing and Trading of Contracts
4.1 Rules Applicable to All Classes of Contracts Listed on the Markets
4.1.7 Member not to combine outright orders from different principals and execute them as strategy transactions Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A. N.A. N.A. N.A. N.A. N.A. N.A.
4.1.8 r/w Regulatory Notice Member to comply with procedures relating to error trades Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A. N.A. N.A. N.A. N.A. N.A. N.A.
4.1.9 Member, Approved Trader or Registered Representative not to withold or withdraw Customer's orders unless the specified conditions are met Not Compoundable Not Compoundable $10,000
4.1.10 Member or Approved Trader to comply with the requirements relating to cross trades Not Compoundable Not Compoundable N.A. N.A. N.A. $10,000
4.1.11 r/w Regulatory Notice Member, Approved Trader or Registered Representative to comply with the thresholds and procedures in relation to Negotiated Large Trades Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 $1,000 – $3,000 $3,000 – $6,000 $6,000 – $8,000 $1,000 – $3,000 $3,000 – $6,000 $6,000 – $8,000 N.A.
4.1.12 Member, Approved Trader or Registered Representative to satisfy the conditions relating to the exchange of underlying for Futures Contracts Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 $1,000 – $3,000 $3,000 – $6,000 $6,000 – $8,000 $1,000 – $3,000 $3,000 – $6,000 $6,000 – $8,000 N.A.
4.1.13 Member or Approved Trader not to engage in pre-arranged trades Not Compoundable Not Compoundable N.A. N.A. N.A. $10,000

Added on 16 May 2011.