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
12.7 Statement of Account to Customers
Rule Amendments

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  • 12.7 Statement of Account to Customers

    • 12.7.1

      A Trading Member must send its customer statements of account on a regular basis in accordance with:

      (a) in the case of a Trading Member that holds a Capital Markets Services Licence, Regulation 40 of the SFR (Licensing and Conduct of Business); and
      (b) in the case of a Trading Member that holds a licence specified Rule 4.1.1(1)(b), such requirements as may be prescribed by the Relevant Regulatory Authority, including requirements relating to a customer's statement of account in electronic form. 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.

      Amended on 19 May 2014, 1 July 2016 and 8 October 2018.

    • 12.7.2

      [Rule has been deleted.]

      Deleted on 8 October 2018.

    • 12.7.3

      [Rule has been deleted.]

      Deleted on 19 May 2014.

    • 12.7.4

      [Rule has been deleted.]

      Deleted on 19 May 2014.

    • 12.7.5

      If asked by SGX-ST, a Trading Member must produce the statement of accounts in substantially the same form and containing the same information as were given to customers.