Whole Section

  • 11.10 Submission of Returns

    Amended on 19 May 201419 May 2014.

    • 11.10.1

      A Trading Member shall submit to SGX-ST financial returns as follows:

      (1) in the case of a Trading Member that holds a Capital Markets Services Licence, submit by the 14th calendar day of each month statements of assets and liabilities, base capital, financial resources, total risk requirement, aggregate indebtedness;
      (2) in the case of a Trading Member that holds a licence specified in Rule 4.1.1(1)(b), submit by such time specified by SGX-ST financial returns based on such computation methodology and in the form prescribed by SGX-ST; and
      (3) and such other statements as SGX-ST may from time to time require in the format specified by SGX-ST.

      Refer to SGX Data Submission Website (https://esub.sgx.com) for the submission template.

      Amended on 3 January 20073 January 2007, 19 May 201419 May 2014, 29 December 201429 December 2014 and 22 April 201922 April 2019.

    • 11.10.2

      Where a Trading Member fails to submit the statements required in Rule 11.10.1 within the prescribed time, there shall be imposed upon the Trading Member a late fee of $100 for each day that the statements are not submitted in the prescribed time, unless an extension of time has been granted.

    • 11.10.3

      Requests for extension of time shall be submitted to SGX-ST at least 3 Market Days prior to the due date for submission of the statements.

    • 11.10.4

      A Trading Member shall be required to resubmit the statements and documents prescribed under Rule 11.10.1 and take such other steps as SGX-ST may require upon SGX-ST's notification that the statements and documents are inaccurate or incomplete.