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
4.13 Records for Compliance
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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  • 4.13 Records for Compliance

    • 4.13.1

      A Trading Member and its Trading Representatives must:

      (a) maintain proper, complete and accurate records and audit trails, including a complete audit trail of transactions, whether entered into for itself or the Trading Member's customers, from the receipt of an order to its settlement, to evidence compliance with the Rules in accordance with:
      (i) in the case of a Trading Member that holds a Capital Markets Services Licence, the requirements in the Securities and Futures Act and the Rules; and
      (ii) in the case of a Remote Trading Member, such requirements as may be prescribed by the Relevant Regulatory Authority and the Rules. The Remote Trading Member shall immediately notify SGX-ST of any changes to the requirements prescribed by the Relevant Regulatory Authority. Notwithstanding the foregoing, SGX-ST shall have the discretion to prescribe additional requirements;
      (b) not make, or cause to be made, any false or misleading entries in any books, records, slips, documents, or statements relating to the business, affairs, transactions, conditions, assets or accounts of the Trading Member (whether such documents are in hardcopy or electronic form) (the "Documents");
      (c) make or cause to be made all relevant entries in each of the Documents; and
      (d) not alter, conceal or destroy or cause to be altered, concealed or destroyed any of the Documents without a valid reason.

      Refer to Regulatory Notice 4.13.1 and Regulatory Notice 4.13, 4.16, 4.24, 4.25 and 4.29.

      Added on 3 June 2019.

    • 4.13.2

      A Trading Member and its Trading Representative must ensure the integrity, security and confidentiality in the transmission and storage of all records. A Trading Member must keep data and records such that they are easily retrievable by authorised personnel and are stored securely such that no tampering occurs. Backups of records must be kept at a location separate from the original records. A Trading Member must check data and records for quality and accuracy on an on-going basis and correct any quality or accuracy defects detected.

      Added on 3 June 2019.

    • 4.13.3

      A Trading Member must make records available to SGX-ST at such time as SGX-ST prescribes or otherwise requires. The Trading Member must obtain the necessary customer consent for such disclosure, prior to such disclosure being made.

      Refer to Regulatory Notice 4.13, 4.16, 4.24, 4.25 and 4.29.

      Added on 3 June 2019.