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12.5.1

SGX-ST may initiate disciplinary proceedings and charge a Registered Person before the Disciplinary Committee if SGX-ST is of the opinion that the Registered Person has committed, or has caused its Trading Member to commit (where applicable), any of the following:

(a) subject to Rules 12.4.2 and 12.4.6, breached the Rules;
(b) in the case of a Trading Member, a Chief Executive Officer or a Trading Representative:
(i) breached the Securities and Futures Act, any relevant laws, regulations or requirements of the Relevant Regulatory Authority, or any other relevant laws and regulatory requirements relating to the regulation of organised markets and licensed entities;
(ii) breached any relevant laws or regulations that govern the Registered Person's other business activities;
(iii) breached the rules of any other exchange;
(iv) engaged in fraud or dishonesty, whether in or out of Singapore;
(v) breached any directors' duties;
(vi) engaged in conduct that has the effect of circumventing the Rules, the Securities and Futures Act, any laws, regulations or requirements of the Relevant Regulatory Authority, or any other relevant laws and regulatory requirements relating to the regulation of organised markets and licensed entities;
(vii) engaged in conduct that is inconsistent with just and equitable principles of trading; or
(viii) engaged in conduct that is detrimental to the financial integrity, reputation or interests of SGX-ST, or organised markets established or operated by SGX-ST.

Added on 3 June 20193 June 2019.