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
- 4.36 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