SGX Rulebooks
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12.18.1

A Trading Member must carry out checks from time to time to ensure compliance with:

(1) the regulatory requirements of such Relevant Regulatory Authority;
(2) the Rules, Directives; and
(3) its policies and procedures.

Amended on 19 May 201419 May 2014.

12.18.2

The checks must be carried out by an internal audit or compliance department/person whose reporting line is independent of dealing, sales and operations.

Added on 19 May 201419 May 2014.