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12.3.1

Without prejudice to any other powers that SGX-ST may have under the Rules, SGX-ST may take any of the following forms of disciplinary action, namely:

(a) to charge the Registered Person before the Disciplinary Committee if SGX-ST is of the opinion that the Registered Person has committed any of the acts for which it may be charged before the Disciplinary Committee as set out in Rule 12.5.1;
(b) to make an offer of composition to the Registered Person if SGX-ST is of the opinion that there has been a violation of the Rules and if the Rule violation is indicated in the third column of Schedule A as a compoundable Rule violation; or
(c) to issue a letter of warning to the Registered Person.

Added on 3 June 20193 June 2019.