| Rule Violation | Whether composition may be offered | Composition 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 Liable | Mandatory minimum penalty imposable by the Disciplinary Committee | |||||||||
| Rule Chapter/Number | Brief Description of Rule | Trading Members (or Designated Market Maker, where applicable) | Approved Executive Directors | Trading Representatives (or Market Making Representative, where applicable) | ||||||||
| 1st Violation | 2nd Violation | 3rd Violation | 1st Violation | 2nd Violation | 3rd Violation | 1st Violation | 2nd Violation | 3rd Violation | ||||
| Chapter 14 — Supervisory Rules | ||||||||||||
| 14.1 | Exchange Investigations | |||||||||||
| 14.1.3 | Trading Member and other specified persons to cooperate with investigations. | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 14.1.4 | Trading Member and other specified persons not to wilfully furnish false or misleading statements or information to SGXST. | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 14.2 | Exchange Inspections | |||||||||||
| 14.2.2 | Trading Member, and specified persons to give the Exchange Inspector access to all information, books and records as requested | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 14.6 | Disciplinary Committee Proceedings | |||||||||||
| 14.6.4(2) | Person charged to provide an undertaking not to disclose information received in relation to the charge | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 14.6.4(3) | Person charged not to breach the undertaking to maintain confidentiality | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 14.9 | Appeals Proceedings | |||||||||||
| 14.9.5(2) | Person charged to provide an undertaking not to disclose information received in relation to the charge | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| Person charged not to breach the undertaking to maintain confidentiality | Not Compoundable | Not Compoundable | $10,000 | |||||||||
| 14.12 | Interim Powers of SGX-ST | |||||||||||
| 14.12.1(1) | Trading Member, Approved Executive Director and Trading Representative to comply with the terms of any suspension or restriction of activities imposed by SGX-ST | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 14.12.2(2) | Trading Member to comply with the directions of SGX-ST | Not Compoundable | Not Compoundable | N.A. | N.A. | N.A. | $10,000 | |||||
| 14.12.3(2) | Failure to inform SGXST of act that may result in default. | Not Compoundable | Not Compoundable | N.A. | N.A. | N.A. | $10,000 | |||||
Added on 16 May 201116 May 2011.