SGX Rulebooks
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Rule ViolationWhether composition may be offeredComposition Amount which may be Offered by SGX-ST, where SGX-ST has Determined the Trading Member, Approved Executive Director and/or Trading Representative to be LiableMandatory minimum penalty imposable by the Disciplinary Committee
Rule Chapter/NumberBrief Description of RuleTrading Members (or Designated Market Maker, where applicable)Approved Executive DirectorsTrading Representatives (or Market Making Representative, where applicable)
1st Violation2nd Violation3rd Violation1st Violation2nd Violation3rd Violation1st Violation2nd Violation3rd Violation
Chapter 12 — Operational Requirements
12.1Records
12.1.1(1)Trading Member, Director or Trading Representative to maintain complete and accurate records in accordance with the SFA and/or SFR, or requirements prescribed by the Relevant Regulatory Authority, as applicable.Not Compoundable[Unless otherwise specified in this Schedule]
Not Compoundable$10,000
Trading Member, Director or Trading Representative to maintain complete and accurate records in accordance with the RulesCompoundable[Unless otherwise specified in this Schedule]
$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.
Trading Member to notify SGX-ST of changes to requirements prescribed by the Relevant Regulatory Authority.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to comply with additional requirements prescribed by SGX-ST.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.1.1(2)Trading Member, Director or Trading Representative not to make false or misleading entries.Not CompoundableNot Compoundable$10,000
12.1.1(3)Trading Member, Director or Trading Representative to make all material entries in any Document.Not CompoundableNot Compoundable$10,000
12.1.1(4)Trading Member, Director or Trading Representative not to alter or destroy any Documents.Not CompoundableNot Compoundable$10,000
12.1.2Trading Member, Director or Trading Representative to ensure integrity, security and confidentiality in the transmission and storage of records.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.
12.1.3Trading Member to make records available to SGX-ST as requiredNot CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.2Confidentiality of customer's information
12.2.1Trading Member and Trading Representative to maintain confidentiality of customer's information.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.
12.2.2Failure to ensure that a person to whom customer's information is disclosed maintains confidentiality.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.
12.3Customer accounts
12.3.1(1)Trading Member to obtain the necessary particulars before opening an individual customer account.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.3.1(2)Trading Member to verify customer's identity and intention when account is not opened in person.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.3.2(1)Trading Member to obtain the necessary particulars before opening a corporate customer account.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.3.2(2)Trading Member to obtain a certified true copy of the certificate of incorporation of the customer before opening a corporate customer accountCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.3.2(3)Trading Member to obtain the necessary documents before opening a corporate customer accountCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.3.3Trading Member to have on file the necessary particulars and/or documents for opening an agency account.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.3.4(1)Trading Member to allow customers to open a joint account only if the specified conditions are metCompoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.3.4(2)Trading Member not to permit a joint account to be operated by more than 2 individualsCompoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.3.4(3)Trading Member to maintain the necessary information for the operation of a joint account.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.3.4(4)Trading Member to require each joint account holder to specify whether he/she is jointly and severally liable for debts incurred in the joint account.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.3.5Customer accounts to be approved in the stipulated manner.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.3.6Trading Member to obtain a written risk acknowledgement statement from a customer in accordance with the SFA and/or SFR, or requirements prescribed by the Relevant Regulatory Authority, as applicable..Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
Trading Member to notify SGX-ST of changes to requirements prescribed by the Relevant Regulatory Authority.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to comply with additional requirements prescribed by SGX-ST.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.3.7(1)Trading Member to maintain separate Trading Accounts for each customer or each group of joint customers (as the case may be) whose account is carried on the books of the Trading Member.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.
12.3.7(2)Trading Member to identify and designate each Trading Account by the full name of the customer(s) whose account is carried on the books of the Trading Member and by a unique Trading Account code, which must be reported to SGX-ST prior to any order.Compoundable$500$1,000$2,000$250$500$1,000$250$500$1,000N.A.
12.3.9[deleted][deleted][deleted][deleted][deleted][deleted][deleted][deleted][deleted][deleted][deleted][deleted]
12.3ACustomer Education
12.3A.1Trading Member to provide online customers with adequate information on specific areasCompoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.4Trading Authority
12.4.1Trading Member to obtain written authorisation from the customer before accepting orders from a third party.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.5Brokerages and Charges
12.5.1Commission rate chargeable to comply with specified rates, if so prescribed by SGX-STCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.5.2Trading Member to disclose charges and expenses to be borne by the customer.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.6Contract Notes
12.6.1Trading Member to send customer a contract note for purchase and sale of securities or futures contracts.Not CompoundableNot CompoundableN.A.N.A.N.A.N.A.
12.6.2Trading Member to state on the contract note that the contract is subjected to the Rules and Directives of SGX-ST.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.6.3(1)Trading Member to include information in the contract note in accordance with SFR.Not CompoundableNot CompoundableN.A.N.A.N.A.N.A.
Trading Member to show separately in the contract note, the stipulated fees, tax and charges.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.6.3(2)Trading Member to obtain customer's consent before issuing contract notes in electronic form.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
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Trading Member to comply with such requirements prescribed by the Relevant Regulatory Authority in respect of contract notes.Not CompoundableNot CompoundableN.A.N.A.N.A.N.A.
Trading Member to comply with such requirements prescribed by the Relevant Regulatory Authority before sending contract notes in electronic form.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to notify SGX-ST of changes to requirements prescribed by the Relevant Regulatory Authority.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to comply with additional requirements prescribed by SGX-ST.Not CompoundableNot CompoundableN.A.N.A.N.A.N.A.
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12.6.7Trading Member to produce contract notes to SGX-ST in the same form as when given to customers.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.7Statement of Account to Customers
12.7.1Trading Member to send customer a statement of account on a regular basis, as may be required under the Securities and Futures Act, or any Regulation made thereunder.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.7.2(1)Trading Member to include information in the statement of account in accordance with SFR.Not CompoundableNot CompoundableN.A.N.A.N.A.N.A.
Trading Member to include any other information in the statement of account as prescribed by SGX-STCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to obtain customers' consent before sending statement of account in electronic form.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.7.2(2)Trading Member to comply with such requirements prescribed by the Relevant Regulatory Authority in respect of statements of account.Not CompoundableNot CompoundableN.A.N.A.N.A.N.A.
Trading Member to comply with such requirements prescribed by the Relevant Regulatory Authority before sending statement of account in electronic form.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to notify SGX-ST of changes to requirements prescribed by the Relevant Regulatory Authority.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to comply with additional requirements prescribed by SGX-ST.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.7.3[Deleted][Deleted][Deleted][Deleted][Deleted][Deleted][Deleted][Deleted][Deleted][Deleted][Deleted][Deleted]
12.7.5Trading Member to produce statement of accounts to SGX-ST in the same form as when given to customers.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.8Amendment of Contract
12.8.1Trading Member to amend contract only if there is a valid reason.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.8.2Amendment of contract to be approved by the specified personsCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.8.3Approval to be given before contract is amendedCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.9Communication with Third Parties
12.9.1Trading Member to communicate directly with customers.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.9.2Trading Member not to allow a third party to collect cash or stipulated documents without written authorisation.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.10Payment to Customers
12.10.1All cheques to customers to be crossed unless stipulated conditions are metCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.10.2Trading Member not to accept a house cheque unless the stipulated conditions are metCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.10ACustomer's Money and Assets
12.10A.1Trading Member to meet the stipulated fiduciary obligations to its CustomersNot CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.10A.2(2)Trading Member to comply with such requirements prescribed by the Relevant Regulatory Authority in respect of stipulated fiduciary obligations.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
Trading Member to notify SGX-ST of changes to requirements prescribed by the Relevant Regulatory Authority.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member to comply with additional requirements prescribed by SGX-ST.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.11Customer's and Remisier's Money
12.11.1Trading Member to comply with the stipulated provisions in the Securities and Futures (Licensing and Conduct of Business) Regulations 2002.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.11.2Trading Member to deposit all money received on account of a Remisier in a trust account.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.11.3Trading Member to designate the accounts maintained with a financial institution as a trust account, or customer or Remisier account, as the case may be.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.11.5Trading Member not to commingle money received with Trading Member's own funds.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.11.6Trading Member not to withdraw Remisier's money from a trust account when the prescribed conditions are not met.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.11.7Trading Member to notify the Remisier of the withdrawal made by the next business dayCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.12Customer's and Remisier's Assets
12.12.1Trading Member to comply with the stipulated provisions in the Securities and Futures (Licensing and Conduct of Business) Regulations 2002.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.12.3Trading Member to designate accounts maintained with a financial institution as a trust account, customer, or Remisier account.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.12.4Trading Member to deposit assets of its customers in a separate custody account from RemisiersNot CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.12.5Trading Member not to commingle assets of a customer or Remisier, with Trading Member's own assets.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.12.6Trading Member not to withdraw remisier's assets from a custody account when the prescribed conditions are not met.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.12.7Trading Member to notify the Remisier of the withdrawal of assets by the next business dayCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.13Reporting of Delinquent Accounts.
12.13.1Trading Member to inform SGX-ST of the particulars of delinquent accounts.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.14Separation of Front Office and Back Office Functions
12.14.1Trading Member to separate front and back office functions.Not CompoundableNot CompoundableN.A.N.A.N.A.$10,000
12.15Stock Account
12.15.1Trading Member to make trades of securities or futures contracts for the Trading Member's proprietary account under a separate stock account.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.15.2Stock Account to be operated by a Director, or his designate, who is licensed to trade.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.15.3Trading Member not to allow a Remisier to operate a Stock Account.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.16Suspense Account
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12.17Trading by Employees and Agents
12.17.1Trading Member to require a Director, Officer, Dealer and employee to obtain prior written approval for each tradeCompoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.17.2Trading Representative not to execute an order for the stipulated accounts without proper written authorisation.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.
12.17.3Trading Member to require Director, Officer, Trading Representative, employees to trade through the Trading Member.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.17.4Trading Member not to buy or sell securities or futures contracts for Director, Officer, Trading Representative, employees of another Trading Member without prior written approval of that Trading Member.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.17.5Trading Member to put in place procedures to ensure that agents who are privy to confidential information do not use the information to trade for their own benefit.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.17.6Trading Member to put in place procedures to monitor trading activities of Director, Officer, Trading Representative, employees.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.18Compliance Review
12.18.2Trading Member to carry out checks through stipulated department/person.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.18.1Trading Member to carry out checks to ensure compliance with all regulatory requirements.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.18ABroker-linked balances
12.18A.1Trading Member linked to a broker-linked balance to have a written agreement with the holder of the broker-linked balance, setting out the required matters.

The Trading Member must provide the written agreement to SGX-ST for inspection if requested.
Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.18A.2Trading Member to act in accordance with the written agreement, the Rules and the Act.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.18A.3Subject to Rule 12.18A, Trading Member to approve the release of securities from the broker-linked balance linked to it by the prescribed timelines.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.18A.5Trading Member that does not approve a customer's request for release of any securities must (a) inform the customer that the request has been rejected and the securities will not be released; (b) provide the reason(s) for not releasing the securities, including necessary details, if so requested by the customer; and (c) provide the customer with such information as may be prescribed from time to time, within the relevant prescribed timelines.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.18A.7Resigning Trading Member must, in respect of each customer that has a broker-linked balance linked to it, release all securities in the broker-linked balance into the customer's main balance by the effective date of resignation.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.19Advertising
12.19.1Trading Member to ensure that advertising or publicity adheres to the stipulated requirements.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.19.2Trading Member that holds a licence specified in Rule 4.1.1(1)(b) not to direct advertising or publicity to Customers domiciled in Singapore.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.20Soft Dollar Commissions
12.20.1Trading Member and Trading Representatives not to receive goods and services from a broker when the stipulated criteria are not met.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.
12.20.2Trading Member not to pay for goods and services to customers when the stipulated criteria are not met.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.21Use of Office Premises
12.21.1Trading Member not to allow unauthorised persons to use the Trading Member's office premises.Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
12.22Use of Prescribed Forms
12.22.1Trading Member to use forms prescribed by SGX-ST.Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.
12.23Application of Chapter 12
12.23.2Trading Member that holds a licence specified in Rule 4.1.1(1)(b) to comply with such requirements prescribed by the Relevant Regulatory Authority and principles of good business practice in respect of the stipulated requirements in relation to Rules 12.3.1, 12.3.2, 12.4, 12.8.2, 12.8.3, 12.9, 12.10, 12.15, 12.16 and 12.17.21Compoundable$2,000 – $4,000$4,000 – $7,000$7,000 – $10,000$1,000 – $3,000$3,000 – $6,000$6,000 – $8,000N.A.N.A.N.A.N.A.
Trading Member that holds a licence specified in Rule 4.1.1(1)(b) to comply with such requirements prescribed by the Relevant Regulatory Authority and principles of good business practice in respect of the stipulated requirements in relation to Rules 12.3.3, 12.3.4, 12.3.5 and 12.3A.22Compoundable$500$1,000$2,000$250$500$1,000N.A.N.A.N.A.N.A.

Added on 16 May 201116 May 2011 and amended on 18 September 201218 September 2012, 19 May 201419 May 2014, 1 July 20161 July 2016, 8 October 20188 October 2018 and 10 December 201810 December 2018.