Versions

 

14.5.1

The Disciplinary Committee may exercise its powers against a Trading Member, an Approved Executive Director or a Trading Representative who:—

(1) breaches the Securities and Futures Act, Securities and Futures Regulations or relevant applicable laws and regulatory requirements relating to the regulation of markets and licenced entities;
(2) breaches the Rules or Directives;
(3) breaches any relevant law or regulation which governs that person's other business activities;
(4) breaches the rules of any other exchange;
(5) breaches any provisions involving fraud or dishonesty, whether in or out of Singapore;
(6) breaches director's duties;
(7) engages in conduct that has the effect of circumventing the Securities and Futures Act, Securities and Futures Regulations, relevant applicable laws and regulatory requirements relating to the regulation of markets and licenced entities, the Rules, or Directives;
(8) engages in conduct which is inconsistent with just and equitable principles of trading; or
(9) engages in conduct detrimental to the financial integrity, reputation or interests of SGX-ST, or markets established or operated by SGX-ST.

Amended on 19 May 201419 May 2014.