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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  • 12.1 Investigations by SGX-ST

    • 12.1.1

      SGX-ST may conduct an investigation if:

      (a) the investigation involves a possible breach of the Securities and Futures Act, any other relevant applicable laws and regulatory requirements relating to the regulation of organised markets and licensed entities, or the Rules;
      (b) SGX-ST receives a written complaint involving any Registered Person and/or its Director, Officer, employee or agent;
      (c) there is a dispute between Trading Members on a trading matter;
      (d) in SGX-ST's opinion, the circumstances warrant; or
      (e) the Authority directs.

      Added on 3 June 2019.

    • 12.1.2

      SGX-ST may impose any requirement on any Registered Person that it deems necessary to preserve the integrity of the investigation.

      Added on 3 June 2019.

    • 12.1.3

      SGX-ST may appoint any person or persons to assist in its investigation (the "Exchange Examiner(s)").

      Added on 3 June 2019.

    • 12.1.4

      SGX-ST may delegate all or any of its powers under Rule 12.1 to the Exchange Examiner. The Exchange Examiner must report the results of the investigation to SGX-ST.

      Added on 3 June 2019.

    • 12.1.5

      SGX-ST may refer any investigations to another relevant investigating authority if SGX-ST is of the opinion that the circumstances warrant the referral.

      Added on 3 June 2019.

    • 12.1.6

      A Registered Person shall, and shall ensure that its Directors, Officers, employees or agents (if any), promptly:

      (a) render all assistance as SGX-ST and/or the Exchange Examiner requires, at SGX-ST's premises or elsewhere; and
      (b) provide SGX-ST and/or the Exchange Examiner with, and give SGX-ST and/or the Exchange Examiner access to such information, books and records that SGX-ST and/or the Exchange Examiner may request that, in SGX-ST's and/or the Exchange Examiner's opinion, may be relevant to the investigation.

      Added on 3 June 2019.

    • 12.1.7

      A Registered Person must not and shall ensure that its Directors, Officers, employees or agents (if any) do not:

      (a) wilfully furnish or permit the furnishing of any false or misleading information, statement or report to SGX-ST or the Exchange Examiner; or
      (b) wilfully make or permit the making of any false or misleading statement to SGX-ST or the Exchange Examiner or wilfully omit or permit the omission of any entry or information in any report or statement to SGX-ST or the Exchange Examiner.

      Added on 3 June 2019.