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
5.4 Acting as Principal to Customer
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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  • 5.4 Acting as Principal to Customer

    • 5.4.1

      This Rule 5.4 shall not apply to a Remote Trading Member.

      Added on 3 June 2019.

    • 5.4.2

      Subject to Rule 8.1.1, if a Trading Member or its Trading Representative wants to trade as principal (as defined under Regulation 47B of the SFR (Licensing and Conduct of Business) with a customer who is not a holder of a Capital Markets Services Licence, the Trading Member (where the Trading Member is the one so trading) or the Trading Representative (where the Trading Representative is the one so trading) must inform the customer that the Trading Member or the Trading Representative is acting in the transaction as principal and not as agent.

      Added on 3 June 2019.

    • 5.4.3

      Any contract note relating to the above transaction must show that the Trading Member or Trading Representative acted as principal.

      Added on 3 June 2019.

    • 5.4.4

      This Rule 5.4 does not apply to trades that are matched on the Trading System without the Trading Member's or Trading Representative's knowledge.

      Added on 3 June 2019.