Whole Section

  • 3.12 Submission of Returns

    • 3.12.1

      A Trading Member shall submit to SGX-ST such financial returns and statements, each in the format and by the time specified by SGX-ST, as SGX-ST may from time to time require, including but not limited to the following:

      (a) 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, profit and loss, exposures to a single security and a single customer and margin exposure; and
      (b) in the case of a Remote Trading Member, submit by such time specified by SGX-ST financial returns based on such computation methodology and in the form prescribed by SGX-ST.

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

      Added on 3 June 20193 June 2019.

    • 3.12.2

      There shall be imposed upon the Trading Member a late fee of S$100 for each day that the statements are not submitted after the prescribed time or such extended time as SGX-ST may grant.

      Added on 3 June 20193 June 2019.

    • 3.12.3

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

      Added on 3 June 20193 June 2019.

    • 3.12.4

      A Trading Member shall be required to resubmit the statements and documents prescribed under Rule 3.12.1 and take such other steps as SGX-ST may require if the statements and documents are inaccurate or incomplete.

      Added on 3 June 20193 June 2019.