Location: Rulebooks > SGX-ST Rules > Chapter 4 Operational Requirements > 4.7 Compliance Review > 4.7.2

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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
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CDP Clearing Rules
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  • 4.7 Compliance Review

    • 4.7.1

      A Trading Member must carry out checks from time to time to ensure its and its Directors', Officers', Trading Representatives', employees' and agents' compliance with:

      (a) the regulatory requirements of the Relevant Regulatory Authority;
      (b) the Rules and any Approval Conditions; and
      (c) its policies and procedures.

      Added on 3 June 2019.

    • 4.7.2

      The checks must be carried out by internal audit or the compliance department or a person whose reporting line is independent of dealing, sales and operations.

      Added on 3 June 2019.