| 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 2 — Administration | ||||||||||||
| 2.5 | Indemnity to SGX-ST | |||||||||||
| 2.5.2 | Trading Member to reimburse SGX-ST for such expenses and payments as specified | Compoundable | $2,000 – $4,000 | $4,000 – $7,000 | $7,000 – $10,000 | $1,000 – $3,000 | $3,000 – $6,000 | $6,000 – $8,000 | N.A. | N.A. | N.A. | N.A. |
| 2.6 | Supply of Information to SGX-ST | |||||||||||
| 2.6.1 | Information or records provided not to contain untrue statements or be misleaing or omit material statements | Compoundable | $2,000 – $4,000 | $4,000 – $7,000 | $7,000 – $10,000 | $1,000 – $3,000 | $3,000 – $6,000 | $6,000 – $8,000 | $1,000 – $3,000 | $3,000 – $6,000 | $6,000 – $8,000 | N.A |
| 2.6.2 | Failure to provide information or records specified by SGX-ST. | Not Compoundable | Not Compoundable | N.A. | N.A. | N.A. | $10,000 | |||||
Added on 16 May 201116 May 2011.