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‹ Regulatory Notice 11.4.2(g) — Application of the Force Key

Practice Note 3.7 and 3.9 Remote Trading Member Exposure to Single Customer and Single Security ›

Practice Notes

Practice Note 3.7 and 3.9 Remote Trading Member Exposure to Single Customer and Single Security
- 1. Introduction
- 2. Adequate Tools and Procedures
Practice Note 4.2 Direct Market Access And Sponsored Access
- 1. Introduction
- 2. Direct Market Access
Practice Note 4.9.3 Conflicts of Interest
- 1. Introduction
- 2. Separation of Key Functions
Practice Note 4.10.1(b) Pre Execution Checks
- 1. Introduction
- 2. Pre-execution checks
Practice Note 4.10.1(c) Error Prevention Alerts
- 1. Introduction
- 2. Error-prevention alerts
Practice Note 4.10.2 Firm Level Monitoring of Capital and Financial Requirements and Prudential Limits
- 1. Introduction
- 2. Firm-level monitoring of capital requirements and prudential limits
Practice Note 4.12 Business Continuity Requirements
- 1. Introduction
- 2. Business continuity plan
- 3. Emergency contact persons
Practice Note 4.15.2(a) and (b) Opening of Customer Accounts: Obtaining Adequate Particulars, Verification of Identity, and Verification of Authority to Trade
- 1. Introduction
- 2. Individual customer account
- 3. Corporate/Non-individual customer account
- 4. Digital Signature
Practice Note 4.15.2(d) Understanding a Customer's Risk Appetite and Investment Objectives
- 1. Introduction
- 2. Risk Appetite and Investment Objectives
Practice Note 4.15.3 Additional Safeguards for Trading by Young Investors
- 1. Introduction
- 2. Suitability assessment and risk disclosure
- 3. Supervision
- 4. Investor Education
Practice Note 4.15.5 Approval of Customer Accounts
- 1. Introduction
- 2. Approval based on pre-defined criteria approved by senior management or delegate
Practice Note 4.18 Education for Internet Trading Customers
- 1. Introduction
- 2. Information, Guidance and Training
Practice Note 4.24.3(c) Evidence of Informed Consent for Contract Notes in Electronic Form
- 1. Introduction
- 2. Evidence of Informed Consent
Practice Note 4.38 Soft Dollar Receipts or Payments
- 1. Introduction
- 2. Good and Services that do not qualify as soft dollar receipts or payments
Practice Note 5.7 Precedence of Customer Orders
- 1. Introduction
- 2. Application of Rule 5.7.1
- 3. Interpretation of Rule 5.7.2
Practice Note 5.12 False Trading and Market Rigging
- 1. Introduction
- 2. False Trading and Market Rigging
- 3. Guidance on Rule 5.12.2
- 4. Conclusion
Practice Note 5.12.3 Transaction with no change in beneficial ownership
- 1. Introduction
- 2. Guidance on Rule 5.12.3
Practice Note 5.12.9 Processes for Review of Orders and Trades
- 1. Introduction
- 2. Guidance on processes
- 3 Parameters to assist in detecting suspicious trading behaviour
Practice Note 8.11.1 Designated Instruments
- 1. Introduction
- 2. Designation as a regulatory tool
- 3. Conditions that may be imposed on a Designated Instrument
Practice Note 8.13 and 8.15 Characteristics of Suspension and Trading Halt
- 1. Introduction
- 2. Characteristics of a suspension and a trading halt
Practice Note 8.13.4 and 8.15.7 Approval of Off-Market Trades in a Security or Futures Contract Subject to Suspension or Trading Halt
- 1. Introduction
- 2. Rationale for Rules
- 3. Circumstances under which SGX-ST may approve off market trades in a security or futures contract subject to suspension or trading halt
Practice Note 9.6.4(b) Money Received on Account of Customer
Practice Note 11.1.2 and 11.3 Trade Cancellation Procedures
- 1. Introduction
- 2. Cancellation Procedures for Error Trades
- 3. Cancellation Procedures for contracts arising from a Trade at Close
Practice Note 11.5.5(c) Alternative Reference Price For No Cancellation Range
- 1. Introduction
- 2. Alternative prices
- 3. Alternative prices unsuitable

‹ Regulatory Notice 11.4.2(g) — Application of the Force Key

Practice Note 3.7 and 3.9 Remote Trading Member Exposure to Single Customer and Single Security ›

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