Whole Section

  • 10A.4 Compliance

    • 10A.4.1

      A Trading Member participating in the ASEAN Trading Linkage must, at all times, comply with these Rules and the Securities and Futures Act in carrying on its business in connection with the ASEAN Trading Linkage.

      Added on 18 September 201218 September 2012.

    • 10A.4.2

      Without prejudice to the generality of Rule 10A.4.1, a Sponsoring Participant must comply with the requirements under these Rules applicable to the authorisation of Sponsored Access to its customer.

      Added on 18 September 201218 September 2012.

    • 10A.4.3

      Without prejudice to the generality of Rule 10A.4.1, in trading for its customers via the ASEAN Trading Linkage, an Originating Participant must comply with all provisions in the Securities and Futures Act applicable to the conduct of its business.

      Added on 18 September 201218 September 2012.

    • 10A.4.4

      Without prejudice to the generality of Rule 10A.4.1, in trading on a market of a Foreign ASEAN Exchange via the ASEAN Trading Linkage, an Originating Participant must comply with all provisions in the Securities and Futures Act applicable to market conduct on such markets.

      Added on 18 September 201218 September 2012.