Rulebooks: Contents

Rulebooks
Mainboard Rules
Catalist Rules
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
Directives
Regulatory Notices
Practice Notes
Schedule A
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
Rule Amendments

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  • 2.8 Appointment and Registration of Trading Representatives

    • 2.8.1

      A Trading Member must register with SGX-ST persons who deal in securities or futures contracts on SGX-ST as Trading Representatives, unless exempted by SGX-ST.

      Added on 3 June 2019.

    • 2.8.2

      To be eligible for registration as a Trading Representative, an applicant must:

      (a) be at least 21 years old;
      (b) be a fit and proper person, in accordance with the Authority's Guidelines on Fit and Proper Criteria;
      (c) possess a good track record of business conduct (if applicable);
      (d) comply with the requirements of his Relevant Regulatory Authority for acting as a representative of his Trading Member in respect of the relevant regulated activities;
      (e) not be a person who has previously been disallowed by an exchange or a regulatory body, whether in or out of Singapore, from acting as a representative in respect of the relevant regulated activities; and
      (f) not be an undischarged bankrupt, whether in or out of Singapore.

      Added on 3 June 2019.

    • 2.8.3

      A Trading Representative may be entered into the Register of Trading Representatives only if his Trading Member has confirmed in writing to SGX-ST that the Trading Representative satisfies the registration criteria prescribed in Rule 2.8.2. The Trading Member shall maintain records evidencing the Trading Representative's satisfaction of the registration criteria in Rule 2.8.2 and shall provide all information that SGX-ST may require in the registration process.

      Added on 3 June 2019.

    • 2.8.4

      SGX-ST may in its discretion refuse the registration of a Trading Representative.

      Added on 3 June 2019.

    • 2.8.5

      If SGX-ST refuses the registration of a Trading Representative, the applicant may, within 14 days after it is notified of SGX-ST's decision, appeal in writing to the SGX RegCo Board whose decision will be final.

      Added on 3 June 2019.

    • 2.8.6

      Only Trading Representatives who have been registered by SGX-ST and entered into the Register of Trading Representatives may deal in securities or futures contracts on SGX-ST. A Trading Representative may begin to do so only upon his Trading Member being notified by SGX-ST that he or she has been entered into the Register of Trading Representatives.

      Added on 3 June 2019.

    • 2.8.7

      A Trading Representative must act for only one Trading Member, unless exempted by SGX-ST.

      Added on 3 June 2019.