Location: Rulebooks > SGX-ST Rules > Chapter 4 Operational Requirements > 4.7 Compliance Review > 4.7.1

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Rulebooks
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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
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Schedule A
CDP Clearing Rules
CDP Settlement Rules
DVP Rules [Entire Rulebook has been deleted]
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SIAC DC Arbitration Rules
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Rule Amendments

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  • 4.7.1

    A Trading Member must carry out checks from time to time to ensure its and its Directors', Officers', Trading Representatives', employees' and agents' compliance with:

    (a) the regulatory requirements of the Relevant Regulatory Authority;
    (b) the Rules and any Approval Conditions; and
    (c) its policies and procedures.

    Added on 3 June 2019.