1401
Term | Meaning |
"Relevant Person" | means an issuer, its directors, executive officers, and issue managers. |
"Relevant Rule" | means the relevant provision(s) in the Exchange's listing rules. |
Added on 7 October 20157 October 2015.
1402
For the purposes of this Chapter, a Relevant Person is deemed to have contravened a Relevant Rule when a Relevant Person has:
Added on 7 October 20157 October 2015.
1403
Added on 7 October 20157 October 2015 and amended on 15 September 201715 September 2017.
1404
Added on 7 October 20157 October 2015 and amended on 15 September 201715 September 2017, 1 August 2021 and 3 September 2021.
1405
Added on 7 October 20157 October 2015 and amended on 7 February 20207 February 2020, 12 February 2021 and 1 August 2021.
1405A
Added on 1 August 2021.
1406
Added on 7 October 20157 October 2015.
1407
The Exchange may conduct an investigation if:
Added on 7 October 20157 October 2015.
1408
For the purposes of an investigation, the Exchange may require that a Relevant Person comply with one or more the following requests:
Added on 7 October 20157 October 2015.
1409
Added on 7 October 20157 October 2015 and amended on 7 February 20207 February 2020.
1410
Added on 7 October 20157 October 2015.
1411
Added on 7 October 20157 October 2015.
1412
An offer of composition payable to the Exchange shall not exceed $10,000 per contravention, subject to maximum of $100,000 per offer for multiple contraventions. Subject to the decision of the Exchange, composition sums may be paid by instalments which shall not exceed 12 months from the date of acceptance of the written offer.
Added on 7 October 20157 October 2015.
1413
Added on 7 October 20157 October 2015.
1414
Added on 7 October 20157 October 2015.
1415
Added on 7 October 20157 October 2015.
1416
Added on 7 October 20157 October 2015.
1417
Added on 7 October 20157 October 2015 and amended on 1 August 2021.
1418
Added on 7 October 20157 October 2015 and amended on 1 August 2021.
1419
Added on 7 October 20157 October 2015 and amended on 1 August 2021.
1420
Added on 7 October 20157 October 2015.
1421
Added on 7 October 20157 October 2015.
1422
Added on 7 October 20157 October 2015.
1423
Added on 7 October 20157 October 2015.
1424
Subject to this rule and the continuing disclosure obligations in Chapter 7, the parties to Disciplinary Committee proceedings or Appeals Committee proceedings, their representatives and their advisors shall at all times treat all matters and documents relating to the proceedings as confidential except:
Added on 7 October 20157 October 2015.
1425
Added on 7 October 20157 October 2015.
1426
The Disciplinary Committee and Appeals Committee shall not be liable for performing their functions under this Chapter. This limitation of liability extends to any actions whether in contract or tort or otherwise, and even in the purported performance of a function in good faith.
Added on 7 October 20157 October 2015.
1427
All composition sums, fines and costs payable to the Exchange shall be used for investor education and related expenses.
Added on 7 October 20157 October 2015.
1428
The costs of the Listings Advisory Committee, Disciplinary Committee, Appeals Committee and their supporting secretariat shall be funded by a SGX Compliance Fund comprising contributions from the Exchange. The monies in the Compliance Fund shall be kept separate from all other property of the Exchange.
Added on 7 October 20157 October 2015.