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
3.12 Submission of Returns
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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  • 3.12 Submission of Returns

    • 3.12.1

      A Trading Member shall submit to SGX-ST such financial returns and statements, each in the format and by the time specified by SGX-ST, as SGX-ST may from time to time require, including but not limited to the following:

      (a) in the case of a Trading Member that holds a Capital Markets Services Licence, submit by the 14th calendar day of each month statements of assets and liabilities, base capital, financial resources, total risk requirement, aggregate indebtedness, profit and loss, exposures to a single security and a single customer and margin exposure; and
      (b) in the case of a Remote Trading Member, submit by such time specified by SGX-ST financial returns based on such computation methodology and in the form prescribed by SGX-ST.

      Refer to SGX Data Submission Website (https://esub.sgx.com) for the submission template.

      Added on 3 June 2019.

    • 3.12.2

      There shall be imposed upon the Trading Member a late fee of S$100 for each day that the statements are not submitted after the prescribed time or such extended time as SGX-ST may grant.

      Added on 3 June 2019.

    • 3.12.3

      Requests for extension of time shall be submitted to SGX-ST at least three Market Days prior to the due date for submission of the statements.

      Added on 3 June 2019.

    • 3.12.4

      A Trading Member shall be required to resubmit the statements and documents prescribed under Rule 3.12.1 and take such other steps as SGX-ST may require if the statements and documents are inaccurate or incomplete.

      Added on 3 June 2019.