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  • SGX Rulebooks
    • Mainboard Rules
    • Catalist Rules
    • SGX-ST Rules
      • Chapter 1 General
      • Chapter 2 Admission and Registration of Trading Members, Chief Executive Officers and Trading Representatives
      • Chapter 3 Capital and Financial Requirements
      • Chapter 4 Operational Requirements
        • 4.1 Member Systems
        • 4.2 Direct Market Access and Sponsored Access
        • 4.3 Suspension and Termination of Direct Market Access
        • 4.4 Control of Access
        • 4.5 Responsibility to SGX-ST
        • 4.6 Training and Supervision
        • 4.7 Compliance Review
        • 4.8 Good Business Practice
        • 4.9 Control of Operations
        • 4.10 Risk Management and Financial Controls
        • 4.11 Outsourcing Conditions
        • 4.12 Business Continuity Requirements
        • 4.13 Records for Compliance
        • 4.14 Confidentiality of Customer's Information
        • 4.15 Opening of Customer Accounts
        • 4.16 Risk Disclosure
        • 4.17 Separate Trading Accounts and Account Designation
        • 4.18 Customer Education
        • 4.19 Trading by Employees and Agents
        • 4.20 Arrangements with Remisiers
        • 4.21 Remisiers Working in Teams
        • 4.22 Trading Authority
        • 4.23 Brokerages and Charges
        • 4.24 Contract Notes
        • 4.25 Statements of Account to Customers
        • 4.26 Amendment of Contract
        • 4.27 Communication with Customers
        • 4.28 Payment to Customers
        • 4.29 Segregation of Customer's and Remisier's Monies and Assets
        • 4.30 Segregation of Customer's and Remisier's Monies and Assets — Monies
        • 4.31 Segregation of Customer's and Remisier's Monies and Assets — Assets
        • 4.32 Reporting of Delinquent Accounts
        • 4.33 Stock Account
        • 4.34 Position Accounts
        • 4.35 Broker-linked Balances
          • 4.35.1
          • 4.35.2
          • 4.35.3
          • 4.35.4
          • 4.35.5
          • 4.35.6
          • 4.35.7
        • 4.36 Advertising
        • 4.37 Use of Office Premises
        • 4.38 Soft Dollar Commissions
        • 4.39 Research and Corporate Finance Activities
        • 4.40 Application of Chapter 4 to Remote Trading Member
      • Chapter 5 Trading Practices and Conduct
      • Chapter 6 Designated Market-Makers
      • Chapter 7 Listing and Quotation
      • Chapter 8 Trading
      • Chapter 9 Settlement
      • Chapter 10 Requirements on Specific Securities and Futures Contracts
      • Chapter 11 Cancellation of Contracts and Trades
      • Chapter 12 Supervision and Enforcement
      • Chapter 13 Definitions and Interpretation
      • Directives
      • Regulatory Notices
      • Practice Notes
      • Schedule A
    • CDP Clearing Rules
    • CDP Settlement Rules
    • DVP Rules [Entire Rulebook has been deleted]
    • CDP Depository Rules
    • Futures Trading Rules
    • SGX-DC Clearing Rules
    • SIAC DT Arbitration Rules
    • SIAC DC Arbitration Rules
    • Archive
    • Rule Amendments
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Breadcrumb

  1. SGX Rulebooks
  2. SGX-ST Rules
  3. Chapter 4 Operational Requirements
  4. 4.35 Broker-linked Balances
  5. 4.35.2
  Versions

 
  • 03 Jun 2019 to 17 Jan 2022
  • 18 Jan 2022
‹ 4.35.1 4.35.3 ›

4.35.2

The Trading Member shall act in accordance with the written agreement, the Rules and the Securities and Futures Act, save that nothing in the Rules shall prevent a Trading Member from releasing securities from the broker-linked balance linked to it into the customer's main balance.

Added on 3 June 20193 June 2019 and amended on 18 January 2022.

‹ 4.35.1 4.35.3 ›
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