Whole Section

  • 12.7 Statement of Account to Customers

    • 12.7.1

      A Trading Member must send its customer statements of account on a regular basis in accordance with:

      (a) in the case of a Trading Member that holds a Capital Markets Services Licence, Regulation 40 of the SFR (Licensing and Conduct of Business); and
      (b) in the case of a Trading Member that holds a licence specified Rule 4.1.1(1)(b), such requirements as may be prescribed by the Relevant Regulatory Authority, including requirements relating to a customer's statement of account in electronic form. 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.

      Amended on 19 May 201419 May 2014, 1 July 20161 July 2016 and 8 October 20188 October 2018.

    • 12.7.5

      If asked by SGX-ST, a Trading Member must produce the statement of accounts in substantially the same form and containing the same information as were given to customers.