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14.3.1

If an investigation or inspection reveals that a Trading Member, any of its Directors, Trading Representatives, Officers, employees or agents has breached any Rule or Directive, SGX-ST may take any of the following forms of disciplinary action, namely:

(1) to charge the Trading Member or an Approved Executive Director (or both) before the Disciplinary Committee;
(2) to make an offer of composition to the Trading Member or an Approved Executive Director (or both) if the Rule violation is indicated in the third column of Schedule A as a compoundable Rule violation; or
(3) to issue a letter of warning to the Trading Member or an Approved Executive Director (or both).

Amended on 16 May 201116 May 2011.