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
3. Conduct of Members, Approved Traders and Registered Representatives
3.3 Duties of Members Undertaking Agency Trades
3.3.9 Customer's Statement of Account and Contract Note
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

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  • 3.3.9 Customer's Statement of Account and Contract Note

    (a) A Member shall issue statements of account and contract notes to its Customers.
    (b) The issuance of statements of account and contract notes shall:
    (i) in the case of a General Trading Member that holds a licence to engage in a Regulated Activity and a Bank Trading Member, comply with the applicable provisions including provisions relating to a Customer's statement of account and contract note in electronic form, as required under the Conduct of Business Regulations. With respect to the issuance of a statement of account or contract note in an electronic form, a Member shall obtain the Customer's prior revocable and informed consent and retain evidence of such Customer's consent. Informed consent refers to a Customer being apprised of the manner of delivery and retrieval of the electronic record and any costs incurred in connection therewith;
    (ii) in the case of a General Trading Member that holds a licence specified in Rule 2.4.1(b), comply with such requirements as prescribed by the Relevant Regulatory Authority, including requirements relating to a customer's statement of account or contract note in electronic form. The General Trading Member shall immediately notify the Exchange on any changes to such requirements. Notwithstanding the foregoing, the Exchange shall have the discretion to prescribe additional requirements.
    (c) At the request of the Exchange, a Member shall produce for inspection the contract note in substantially the same form and containing the same information as was provided to the Customer.

    Amended on 1 April 2014.