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
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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  • 7.4 Investigations by the Exchange

    • 7.4.1 Commencement of Investigations

      The Exchange may conduct an investigation if:

      (a) the Exchange is satisfied that any Rule Violation or violation of any other relevant applicable laws and regulatory requirements relating to the regulation of markets and licenced entities has been, or may have been committed;
      (b) the Exchange receives a complaint involving any Member, Approved Trader or Registered Representative or any Member's director, officer, employee or agent;
      (c) there is a dispute between Members, Approved Traders or Registered Representatives in connection with trading on any market; or
      (d) in the Exchange's opinion, having regard to its obligation to maintain a fair, orderly and transparent market, the circumstances warrant an investigation.

      Amended on 1 April 2014.

    • 7.4.2 Direction to Commence Investigation by MAS

      The Exchange shall conduct an investigation if MAS so directs.

    • 7.4.3 Requirement to Cooperate with Investigations

      The Exchange may direct a Member, Approved Trader, Registered Representative or any Member's director, officer, employee or agent to:

      (a) render all assistance as the Exchange requires, at the Exchange's premises or elsewhere; and
      (b) provide the Exchange with information, books and records which, in the Exchange's opinion, may be relevant to the investigation,

      and that Person shall comply with the Exchange's direction.

    • 7.4.4 Prohibition Against the Furnishing of False Statements or Information to the Exchange

      A Member, Approved Trader, Registered Representative, or any Member's director, officer, employee or agent shall not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to the Exchange.

    • 7.4.5 Appointment of Exchange Examiners

      The Exchange may appoint any Person or Persons to assist in its investigation (the "Exchange Examiners"). The Exchange may delegate all or any of its powers under this Rule 7.4.5 to the Exchange Examiners. The Exchange Examiners shall report the results of their investigations to the Exchange.

    • 7.4.6 Supply of Information

      The Exchange may direct a Member, Approved Trader or Registered Representative to provide specified information relating to Members' Affairs, transactions relating to Customers and former Customers, and matters pertaining to any contract. Such direction shall be in writing and the Member, Approved Trader or Registered Representative shall provide the information to the Exchange within such period as is specified by the Exchange, being a period of not less than two (2) Business Days after receipt of the Exchange's direction. Information provided to the Exchange under this Rule shall be treated as Confidential Information and subject to the safeguards set forth in Rule 1.4.