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  • SGX Rulebooks
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    • Archive
      • SGX-ST Rules
        • Definitions and Interpretation
        • Section A — General
        • Section B — Market Participants
          • Chapter 4 — Trading Members
            • 4.1 Admission Criteria
            • 4.2 Application Procedures
            • 4.3 Appeals
            • 4.4 Register of Trading Members
            • 4.5 Trading Rights
            • 4.5A Direct Market Access
            • 4.5B Controlling Access
            • 4.6 Obligations of A Trading Member
              • 4.6.1 Compliance
              • 4.6.2 Acts as Principal
              • 4.6.3 Contracts
              • 4.6.4 Good Business Practice
              • 4.6.5 Responsibility to SGX-ST
              • 4.6.6 Supervision
              • 4.6.7 Establish Procedures and Systems
              • 4.6.7A Risk Management and Financial Controls
              • 4.6.8 Change in Control
              • 4.6.9 Reporting
              • 4.6.10 Payment
              • 4.6.11 Approved Executive Director
              • 4.6.12 Directors
              • 4.6.13 Trading Representatives
              • 4.6.14 Memorandum and Articles of Association
              • 4.6.15 Other Businesses
              • 4.6.16 Register of Securities
              • 4.6.17 Business Name
              • 4.6.18 Issue of Shares
              • 4.6.19 Voluntary Liquidation
              • 4.6.20 Trading Member Ceases to Carry on Business
              • 4.6.21 Business Continuity Requirements
              • 4.6.22 Adequacy of Systems
            • 4.7 Qualification by A Clearing Member
            • 4.8 Resignation
            • 4.9 Cessation of Trading Access
            • 4.10 Obligations of a Former Trading Member
          • Chapter 5 — Designated Market-Maker
          • Chapter 6 — Approved Executive Director
          • Chapter 7 — Trading Representative
        • Section C — Market Structure
        • Section D — Regulatory Framework
        • Section E — Other Business Activities
        • Section F — Transitional Provisions
        • Directives
        • Practice Notes
        • Schedules
    • Rule Amendments
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Breadcrumb

  1. SGX Rulebooks
  2. Archive
  3. SGX-ST Rules
  4. Section B — Market Participants
  5. Chapter 4 — Trading Members
  6. 4.6 Obligations of A Trading Member
  7. 4.6.6 Supervision
  Versions

 
‹ 4.6.5 Responsibility to SGX-ST 4.6.7 Establish Procedures and Systems ›

4.6.6 Supervision

A Trading Member must supervise its Trading Representatives, employees and agents.

‹ 4.6.5 Responsibility to SGX-ST 4.6.7 Establish Procedures and Systems ›
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