12.1.1
A Trading Member, Director or Trading Representative must:—
(1) maintain complete and accurate records and audit trails to evidence compliance with
(a) in the case of a Trading Member that holds a Capital Markets Services Licence, the Rules, and in accordance with the requirements in the Securities and Futures Act, and/or Securities and Futures Regulations or the Rules; and
(b) in the case of a Trading Member that holds a licence specified in Rule 4.1.1(1)(b), such requirements as may be prescribed by the Relevant Regulatory Authority and the Rules. The Trading Member shall immediately notify SGX-ST on any changes to such requirements. Notwithstanding the foregoing, SGX-ST shall have the discretion to prescribe additional requirements;
(2) not make, or cause to be made, a false or misleading entry, in hardcopy, or electronic form, in any books, records, slips, documents, statements relating to the business, affairs, transactions, conditions, assets or accounts ("the Documents") of a Trading Member;
(3) make all material entries in any of the Documents; and
(4) not alter or destroy any of the Documents without a valid reason.
Refer to Directive No. 4.
Amended on 18 September 201218 September 2012, 19 May 201419 May 2014 and 29 December 201429 December 2014.
12.1.2
A Trading Member must ensure the integrity, security and confidentiality in the transmission and storage of all records.
12.1.3
A Trading Member must make records available to SGX-ST at such time as SGX-ST requires.
Added on 18 September 201218 September 2012.