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Chapter 14 — Supervisory Rules

Rule Violation Whether composition may be offered Composition Amount which may be Offered by SGX-ST, where SGX-ST has Determined the Trading Member, Approved Executive Director 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) Approved Executive Directors 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 14 — Supervisory Rules
14.1 Exchange Investigations
14.1.3 Trading Member and other specified persons to cooperate with investigations. Not Compoundable Not Compoundable $10,000
14.1.4 Trading Member and other specified persons not to wilfully furnish false or misleading statements or information to SGXST. Not Compoundable Not Compoundable $10,000
14.2 Exchange Inspections
14.2.2 Trading Member, and specified persons to give the Exchange Inspector access to all information, books and records as requested Not Compoundable Not Compoundable $10,000
14.6 Disciplinary Committee Proceedings
14.6.4(2) Person charged to provide an undertaking not to disclose information received in relation to the charge Not Compoundable Not Compoundable $10,000
14.6.4(3) Person charged not to breach the undertaking to maintain confidentiality Not Compoundable Not Compoundable $10,000
14.9 Appeals Proceedings
14.9.5(2) Person charged to provide an undertaking not to disclose information received in relation to the charge Not Compoundable Not Compoundable $10,000
Person charged not to breach the undertaking to maintain confidentiality Not Compoundable Not Compoundable $10,000
14.12 Interim Powers of SGX-ST
14.12.1(1) Trading Member, Approved Executive Director and Trading Representative to comply with the terms of any suspension or restriction of activities imposed by SGX-ST Not Compoundable Not Compoundable $10,000
14.12.2(2) Trading Member to comply with the directions of SGX-ST Not Compoundable Not Compoundable N.A. N.A. N.A. $10,000
14.12.3(2) Failure to inform SGXST of act that may result in default. Not Compoundable Not Compoundable N.A. N.A. N.A. $10,000

Added on 16 May 201116 May 2011.