| Rule Violation | Whether composition may be offered | Composition amount that may be offered by SGX-ST, where SGX-ST has determined the Trading Member, Chief Executive Officer 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) | Chief Executive Officer | 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 12 — Supervision and Enforcement | ||||||||||||
| 12.1 | Investigations by SGX-ST | |||||||||||
| 12.1.6 | Registered Person and other specified persons to cooperate with investigations | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 12.1.7 | Registered Person and other specified persons not to wilfully furnish false or misleading statements or information to SGX-ST or the Exchange Examiner | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 12.2 | Inspections by SGX-ST | |||||||||||
| 12.2.3 | Registered Person and other specified persons to cooperate with inspections | Not Compoundable | Not Compoundable | $10,000 | ||||||||
| 12.2.4 | Registered Person and other specified persons not to wilfully furnish false or misleading statements or information to SGX-ST or the Exchange Inspector | Not Compoundable | Not Compoundable | $10,000 | ||||||||
Added on 3 June 20193 June 2019.