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  • SGX Rulebooks
    • Mainboard Rules
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    • Futures Trading Rules
      • Chapter 1 General Matters
      • Chapter 2 Access and Membership
      • Chapter 3 Conduct of Members, Approved Traders and Representatives
        • 3. Conduct of Members, Approved Traders and Registered Representatives
          • 3.1 Overview
          • 3.2 Duties Applicable to All Members, Approved Traders and Registered Representatives
          • 3.3 Duties of Members Undertaking Agency Trades
          • 3.4 Trading Practices and Conduct Rules of Members, Approved Traders and Registered Representatives
            • 3.4.1 Market Manipulation
            • 3.4.2 Churning
            • 3.4.3 False Trading, Bucketing, Fraudulent Inducement to Trade and Employment of Fraudulent Device
            • 3.4.3A Duty to Monitor for Trading Misconduct
            • 3.4.4 Duty to Inform Exchange of Prohibited Trading Practices
            • 3.4.5 Dissemination of False or Misleading Information
            • 3.4.6 Professional Misconduct
            • 3.4.7 Disclosing Orders Prohibited
            • 3.4.8 Good Faith Bids and Offers.
            • 3.4.9 Fictitious Transactions Without Change In Ownership
            • 3.4.10 Overtrading by a Member, Approved Trader or Customer
            • 3.4.11 Knowingly Taking Advantage of an Error Prohibited
            • 3.4.12 Deemed Rule Violations
            • 3.4.13 Front Running — Priority of Customers' Orders
            • 3.4.14 Trading Against Customers' Orders Prohibited
            • 3.4.15 Prohibited Conduct
          • 3.5 Inspection and Audit
      • Chapter 4 Listing and Trading of Contracts
      • Chapter 5 Physical Delivery
      • Chapter 6 Dispute Resolution and Arbitration
      • Chapter 7 Adverse Events, Rule Violations and Disciplinary Action
      • Chapter 8 Definitions and Interpretation
      • Chapter 9 Transitional Provisions
      • Regulatory Notices
      • Practice Notes
      • Schedules
    • SGX-DC Clearing Rules
    • SIAC DT Arbitration Rules
    • SIAC DC Arbitration Rules
    • Archive
    • Rule Amendments
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Breadcrumb

  1. SGX Rulebooks
  2. Futures Trading Rules
  3. Chapter 3 Conduct of Members, Approved Traders and Representatives
  4. 3. Conduct of Members, Approved Traders and Registered Representatives
  5. 3.4 Trading Practices and Conduct Rules of Members, Approved Traders and Registered Representatives
  6. 3.4.3A Duty to Monitor for Trading Misconduct
  Versions

 
‹ 3.4.3 False Trading, Bucketing, Fraudulent Inducement to Trade and Employment of Fraudulent Device 3.4.4 Duty to Inform Exchange of Prohibited Trading Practices ›

3.4.3A Duty to Monitor for Trading Misconduct

A Member must have in place processes to review orders and trades for the purpose of detecting suspicious trading behaviour.

Refer to Practice Note 3.4.3A.

Added on 15 March 201315 March 2013.

‹ 3.4.3 False Trading, Bucketing, Fraudulent Inducement to Trade and Employment of Fraudulent Device 3.4.4 Duty to Inform Exchange of Prohibited Trading Practices ›
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