4.17 Supply of Information

SGX-DC Clearing Rules

"Reciprocal Arrangement" means any agreement or arrangement between the Clearing House, any Relevant Market and/or any governmental agency or regulatory authority (including, without limitation, a futures exchange, organised market, or clearing house) in Singapore or elsewhere whose functions include the regulation of trading in commodities (in Singapore or elsewhere) which provides for the disclosure of information between the Clearing House, the Relevant Market and/or the other agency or authority relation to dealings in commodities (in Singapore or elsewhere).

Amended on 8 October 2018 8 October 2018.

4.17.2

Without derogating from the powers of the Clearing House or any Relevant Market (where the Clearing Member is also a member) to obtain information and to conduct inspections and investigations relative to the affairs of a Clearing Member, the Clearing House may request in particular that a Clearing Member provide specified information relating to the terms and circumstances of, and parties to, any dealings in commodities by Customers and/or former Customers of that Clearing Member.

Such request shall be in writing and the Clearing Member shall provide the information to the Clearing House within such period as is specified by the Clearing House being a period of not less than two (2) Business Days of receipt of the request.

Amended on 27 March 2006 27 March 2006.

4.17.3

Subject to the other provisions of this Rules, the Clearing House shall take all reasonable measures to protect from unauthorised use or disclosure of information provided to the Clearing House in confidence by or on behalf of a Clearing Member pursuant to this Rules. Disclosure of information by the Clearing House is authorised if it:

4.17.3.1 is pursuant to a Reciprocal Arrangement;

4.17.3.2 is required to be disclosed by the Clearing House under any law (in or out of Singapore) or any order of any court or authority or regulatory body (each in or out of Singapore);

4.17.3.3 is publicly available at the time of disclosure to or by the Clearing House and/or any Relevant Market;

4.17.3.4 is for the purposes of monitoring compliance with and/or the enforcement of this Rules or the adjudication of a matter;

4.17.3.5 is, without prejudice to the generality of Rule 4.17.3.2 above, approved by the Authority and is to any governmental agency or regulatory authority (in or out of Singapore) including, without limitation, a futures exchange or clearing house, that requests that the Clearing House provide the information for the proper exercise of powers relating to:—

a. the governance of a Clearing Member; or

b. the trading of commodities or clearing of contracts in commodities (in or out of Singapore),

4.17.3.6 is in connection with the discharge of its regulatory obligations under the Securities and Futures Act or when compelled under applicable laws to do so or pursuant to any cross-border regulatory sharing arrangement subject to its obligation to maintain confidentiality under the Securities and Futures Act;

4.17.3.7 is to any of SGX-DC's related corporations;

4.17.3.8 is authorised by the Authority to be disclosed or furnished under the Securities and Futures Act; or

4.17.3.9 is specifically authorised under this Rules.

Amended on 27 March 2006 27 March 2006 and 17 July 2019 17 July 2019.

4.17.4

Nothing in this Rule 4.17 limits what may at common law otherwise constitute, for the purposes of this Rule, authorised use or disclosure of information.