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
SGX-DC Clearing Rules
SIAC DT Arbitration Rules
SIAC DC Arbitration Rules
Archive
SGX-ST Rules
Section D — Regulatory Framework
Chapter 12 — Operational Requirements
Rule Amendments

  Versions
(4 versions)
 

12.1.1

Past version: effective from May 19 2014 - Dec 28 2014.
To view other versions open the versions tab on the right.

A Trading Member, Director or Trading Representative must:—

(1) maintain complete and accurate records and audit trails to evidence compliance with
(a) in the case of a Trading Member that holds a capital markets services licence, the Rules, and in accordance with the requirements in the Securities and Futures Act, and/or Securities and Futures Regulations or the Rules; and
(b) in the case of a Trading Member that holds a licence specified in Rule 4.1.1(1)(b), such requirements as may be prescribed by the Relevant Regulatory Authority and the Rules. The Trading Member shall immediately notify SGX-ST on any changes to such requirements. Notwithstanding the foregoing, SGX-ST shall have the discretion to prescribe additional requirements;
(2) not make, or cause to be made, a false or misleading entry, in hardcopy, or electronic form, in any books, records, slips, documents, statements relating to the business, affairs, transactions, conditions, assets or accounts ("the Documents") of a Trading Member;
(3) make all material entries in any of the Documents; and
(4) not alter or destroy any of the Documents without a valid reason.

Refer to Directive No. 4.

Amended on 18 September 2012 and 19 May 2014.