Rulebooks: Contents

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
4.6 Training and Supervision
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
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
Rule Amendments

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  • 4.6 Training and Supervision

    • 4.6.1

      A Trading Member must ensure that each of its Trading Representatives undergoes adequate education and training, including such continuing education and training as SGX-ST may prescribe, as may be necessary for the Trading Representative to discharge his duties and obligations.

      Added on 3 June 2019.

    • 4.6.2

      A Trading Member must supervise its Trading Representatives, employees and agents.

      Added on 3 June 2019.

    • 4.6.3

      A Trading Member must:

      (a) establish and maintain procedures and systems to prevent any breach of the Rules by its Directors, Officers, Trading Representatives, employees or agents; and
      (b) ensure that its Trading Representatives, employees, agents or any other person carrying out or enforcing its procedures and systems reasonably discharges his or her duties and obligations.

      Added on 3 June 2019.