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
12.18 Compliance Review
Rule Amendments

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  • 12.18 Compliance Review

    • 12.18.1

      A Trading Member must carry out checks from time to time to ensure compliance with:

      (1) the regulatory requirements of such Relevant Regulatory Authority;
      (2) the Rules, Directives; and
      (3) its policies and procedures.

      Amended on 19 May 2014.

    • 12.18.2

      The checks must be carried out by an internal audit or compliance department/person whose reporting line is independent of dealing, sales and operations.

      Added on 19 May 2014.