11.10 Submission of Returns

11.10.1

A Trading Member shall submit to SGX-ST financial returns as follows:

(1) 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;

(2) in the case of a Trading Member that holds a licence specified in Rule 4.1.1(1)(b), submit by such time specified by SGX-ST financial returns based on such computation methodology and in the form prescribed by SGX-ST; and

(3) and such other statements as SGX-ST may from time to time require in the format specified by SGX-ST.

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

Amended on 3 January 2007 3 January 2007, 19 May 2014 19 May 2014, 29 December 2014 29 December 2014 and 22 April 2019 22 April 2019.

11.10.2

Where a Trading Member fails to submit the statements required in Rule 11.10.1 within the prescribed time, there shall be imposed upon the Trading Member a late fee of $100 for each day that the statements are not submitted in the prescribed time, unless an extension of time has been granted.

11.10.3

Requests for extension of time shall be submitted to SGX-ST at least 3 Market Days prior to the due date for submission of the statements.

11.10.4

A Trading Member shall be required to resubmit the statements and documents prescribed under Rule 11.10.1 and take such other steps as SGX-ST may require upon SGX-ST's notification that the statements and documents are inaccurate or incomplete.