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4.16.1

A Trading Member must ensure that its customer is aware of and must obtain a written acknowledgement from the customer that the customer is aware of and understands the risks associated with holding and trading securities and futures contracts, and it informs its customer whether the Trading Member is acting as a principal or an agent for the customer in accordance with:

(a) in the case of a Trading Member that holds a Capital Markets Services Licence, Regulation 47DA of the SFR (Licensing and Conduct of Business); and
(b) in the case of a Remote Trading Member, such requirements as may be prescribed by the Relevant Regulatory Authority. The Remote Trading Member shall immediately notify SGX-ST of any changes to such requirements. Notwithstanding the foregoing, SGX-ST shall have the discretion to prescribe additional requirements.

Refer to Regulatory Notice 4.13, 4.16, 4.24, 4.25 and 4.29.

Added on 3 June 20193 June 2019.