Whole Section

  • 12.1 Investigations by SGX-ST

    • 12.1.1

      SGX-ST may conduct an investigation if:

      (a) the investigation involves a possible breach of the Securities and Futures Act, any other relevant applicable laws and regulatory requirements relating to the regulation of organised markets and licensed entities, or the Rules;
      (b) SGX-ST receives a written complaint involving any Registered Person and/or its Director, Officer, employee or agent;
      (c) there is a dispute between Trading Members on a trading matter;
      (d) in SGX-ST's opinion, the circumstances warrant; or
      (e) the Authority directs.

      Added on 3 June 20193 June 2019.

    • 12.1.2

      SGX-ST may impose any requirement on any Registered Person that it deems necessary to preserve the integrity of the investigation.

      Added on 3 June 20193 June 2019.

    • 12.1.3

      SGX-ST may appoint any person or persons to assist in its investigation (the "Exchange Examiner(s)").

      Added on 3 June 20193 June 2019.

    • 12.1.4

      SGX-ST may delegate all or any of its powers under Rule 12.1 to the Exchange Examiner. The Exchange Examiner must report the results of the investigation to SGX-ST.

      Added on 3 June 20193 June 2019.

    • 12.1.5

      SGX-ST may refer any investigations to another relevant investigating authority if SGX-ST is of the opinion that the circumstances warrant the referral.

      Added on 3 June 20193 June 2019.

    • 12.1.6

      A Registered Person shall, and shall ensure that its Directors, Officers, employees or agents (if any), promptly:

      (a) render all assistance as SGX-ST and/or the Exchange Examiner requires, at SGX-ST's premises or elsewhere; and
      (b) provide SGX-ST and/or the Exchange Examiner with, and give SGX-ST and/or the Exchange Examiner access to such information, books and records that SGX-ST and/or the Exchange Examiner may request that, in SGX-ST's and/or the Exchange Examiner's opinion, may be relevant to the investigation.

      Added on 3 June 20193 June 2019.

    • 12.1.7

      A Registered Person must not and shall ensure that its Directors, Officers, employees or agents (if any) do not:

      (a) wilfully furnish or permit the furnishing of any false or misleading information, statement or report to SGX-ST or the Exchange Examiner; or
      (b) wilfully make or permit the making of any false or misleading statement to SGX-ST or the Exchange Examiner or wilfully omit or permit the omission of any entry or information in any report or statement to SGX-ST or the Exchange Examiner.

      Added on 3 June 20193 June 2019.