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
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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  • 5.14 Dealing Assistant

    • 5.14.1

      A Trading Member may appoint a dealing assistant to enter orders on the Trading System on instructions given by a Trading Representative or team of Trading Representatives. A Trading Member must ensure that a Trading Representative is supported by no more than one dealing assistant. A dealing assistant who supports a Trading Representative must be appointed by a Trading Member.

      Added on 3 June 2019.

    • 5.14.2

      A Trading Member must ensure that a dealing assistant solely performs an order entry role, and does not perform any regulated activity. Without limiting the generality of the foregoing, a dealing assistant shall not be permitted to:

      (a) deal in securities or futures contracts, including but not limited to soliciting or inducing trades or otherwise deal in securities or futures contracts;
      (b) exercise any discretion over the entry of orders;
      (c) give investment advice or make recommendations to customers;
      (d) accept instructions from customers;
      (e) communicate with customers regarding settlement; or
      (f) collect cash, cheques or share certificates on behalf of the Trading Member, designated Trading Representative(s) or customers.

      Added on 3 June 2019.

    • 5.14.3

      A Trading Member must notify SGX-ST of the appointment of any dealing assistant and provide SGX-ST with the name and identity card or passport number of the dealing assistant appointed.

      Added on 3 June 2019.

    • 5.14.4

      A Trading Member must inform SGX-ST in writing, and where practicable at least seven days in advance, if a dealing assistant ceases to act.

      Added on 3 June 2019.