Issue Date | Cross Reference | Enquiries |
Amended on 26 December 200726 December 2007, 25 August 200925 August 2009, 7 December 20097 December 2009, 1 April 20141 April 2014, 29 December 201429 December 2014, 14 November 201614 November 2016 and 22 April 201922 April 2019. | Rule 3.3.17 Rule 3.3.18 Rule 3.3.26 Rule 3.3.27 | Please contact : Risk Management, for Rules 3.3.17 and 3.3.18 Ms Elaine Tang 6236-8142 Member Supervision, for Rule 3.3.26 and 3.3.27 Facsimile No : 6538 8273 E-Mail Address: membersup@sgx.com |
1. Introduction
2. Electronic Reporting and Submission of Information
Refer to Appendix 2 of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27.
A Member shall record, using Form BC3A, a daily report of Open Positions in all accounts at the end of each Trading Day. The Form BC3A shall be submitted to the Exchange in accordance with the operational procedures and timelines set out in Appendix 2. For disclosed Omnibus Accounts, a Member shall report the Open Positions in each sub-account.
Refer to Appendix 2 of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27.
General Trading Members and Bank Trading Members shall submit financial returns in the format that the Exchange prescribes. The financial returns shall be submitted by the 14th calendar day of each month, or such longer period as the Exchange may allow. Requests for extensions of time shall be submitted to the Exchange at least three (3) Business Days prior to the due date for submission of the monthly financial returns.
Members shall submit audited financial returns in the forms prescribed herein on an annual basis, pursuant to Rule 3.3.28.
Refer to Appendix 2 andAppendix 2 and Appendix 2AAppendix 2A of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27.
Refer to Appendix 2Appendix 2 and Appendix 2AAppendix 2A of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27.
A User ID is issued to a Member to facilitate electronic submission and downloading via the SGX Data Submission System. The User ID is issued only to a director of the Member. The Member shall use the form in Appendix 3Appendix 3 to inform the Exchange of the name of the director. The form shall be signed by two (2) directors. The director who has been issued with the User ID may authorise other employees of the Member to submit files, provided such authorisation is documented and proper procedures are in place.
Refer to Appendix 3 of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27Appendix 3 of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27.
A Member shall appoint at least two (2) employees as User ID coordinators who shall liaise with the Exchange on matters relating to User ID and IT security.
A Member shall use the form in Appendix 3AAppendix 3A to inform the Exchange of the names of the User ID coordinators and its authorised signatories for submission of forms in Appendices 2Appendices 2 and 33. The detailed responsibilities of the authorised signatories and coordinators are set out below:
Refer to Appendix 3A of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27Appendix 3A of Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27.
3. Late Fees
Appendix 2 to Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27 Financial Statements and Other Information to be Submitted by Members Via SGX Data Submission System
Please click herehere to view Appendix 2 to Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27 Financial Statements and Other Information to be Submitted by Members Via SGX Data Submission System.
Amended on 1 April 20141 April 2014, 29 December 201429 December 2014, 14 November 201614 November 2016 and 22 April 201922 April 2019.
Appendix 2A to Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27 List of Email Addresses for Receiving Feedback on Submissions (For SGX Data Submission System)
Please click herehere to view Appendix 2A to Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27 to Regulatory Notice 3.3.17; 3.3.18; 3.3.26; 3.3.27 List of Email Addresses for Receiving Feedback on Submissions (For SGX Data Submission System).
Amended on 1 April 20141 April 2014, 29 December 201429 December 2014 and 22 April 201922 April 2019.