Whole Section

  • 12.1 Records

    • 12.1.1

      A Trading Member, Director or Trading Representative must:—

      (1) maintain complete and accurate records and audit trails to evidence compliance with
      (a) in the case of a Trading Member that holds a Capital Markets Services Licence, the Rules, and in accordance with the requirements in the Securities and Futures Act, and/or Securities and Futures Regulations or the Rules; and
      (b) in the case of a Trading Member that holds a licence specified in Rule 4.1.1(1)(b), such requirements as may be prescribed by the Relevant Regulatory Authority and the Rules. The Trading Member shall immediately notify SGX-ST on any changes to such requirements. Notwithstanding the foregoing, SGX-ST shall have the discretion to prescribe additional requirements;
      (2) not make, or cause to be made, a false or misleading entry, in hardcopy, or electronic form, in any books, records, slips, documents, statements relating to the business, affairs, transactions, conditions, assets or accounts ("the Documents") of a Trading Member;
      (3) make all material entries in any of the Documents; and
      (4) not alter or destroy any of the Documents without a valid reason.

      Refer to Directive No. 4.

      Amended on 18 September 201218 September 2012, 19 May 201419 May 2014 and 29 December 201429 December 2014.

    • 12.1.2

      A Trading Member must ensure the integrity, security and confidentiality in the transmission and storage of all records.