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
Chapter 1 Application of Rules
Chapter 2 Clearing Membership
Chapter 3 Committees
Chapter 4 Enforcement of Rules
Chapter 5 Arbitration
Chapter 6 Delivery and Related Matters
Chapter 7 Clearing and Margins
Chapter 7A Suspension and Default
Chapter 7B Payments
Chapter 8 Mutual Offset System
Chapter 9 Definitions and Interpretation
Chapter 10 Transitional Provisions
Directives
Practice Notes
Appendices
Schedules
SIAC DT Arbitration Rules
SIAC DC Arbitration Rules
Archive
Rule Amendments

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  • 4.01A Clearing House Investigations

    • 4.01A.1

      The Clearing House may conduct an investigation if:—

      4.01A.1.1 the investigation involves a possible breach of the SFA, SFR, this Rulesand/or any applicable laws;
      4.01A.1.2 the Clearing House receives a written complaint involving a Clearing Member, director, officer, employee or agent;
      4.01A.1.3 there is a dispute between Clearing Members on a clearing or settlement matter; or
      4.01A.1.4 in the Clearing House's opinion, the circumstances warrant.

      Added on 27 March 2006 and amended on 31 December 2013.

    • 4.01A.2

      The Clearing House will conduct an investigation if the Authority or any Other Regulator directs.

      Added on 27 March 2006 and amended on 31 December 2013.

    • 4.01A.3

      The Clearing House may require a Clearing Member, any of its directors, officers, employees or agents to:—

      4.01A.3.1 render all assistance as the Clearing House requires, at the Clearing House's premises or elsewhere; and
      4.01A.3.2 provide the Clearing House with information, books and records which, in the Clearing House's opinion, may be relevant to the investigation.

      Added on 27 March 2006.

    • 4.01A.4

      A Clearing Member, director, officer, employee or agent must not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to the Clearing House.

      Added on 27 March 2006.

    • 4.01A.5

      The Clearing House may appoint any person or persons to assist in its investigation (the "Clearing House Examiners").

      Added on 27 March 2006.

    • 4.01A.6

      The Clearing House may delegate all or any of its powers under this Rule to the Clearing House Examiner. The Clearing House Examiner must report the results of the investigation to the Clearing House.

      Added on 27 March 2006.