Whole Section

  • 14.1 Exchange Investigations

    • 14.1.1

      SGX-ST may conduct an investigation if:—

      (1) the investigation involves a possible breach of the Securities and Futures Act, Securities and Futures Regulations, any other relevant applicable laws and regulatory requirements relating to the regulation of markets and licenced entities, Rules, or Directives;
      (2) SGX-ST receives a written complaint involving a Trading Member, Director, Trading Representative, Officer, employee or agent;
      (3) there is a dispute between Trading Members on a trading matter; or
      (4) in SGX-ST's opinion, the circumstances warrant.

      Amended on 19 May 201419 May 2014.

    • 14.1.2

      SGX-ST will conduct an investigation if the Authority directs.

    • 14.1.3

      SGX-ST may require a Trading Member, any of its Directors, Trading Representatives, Officers, employees or agents to:—

      (1) render all assistance as SGX-ST requires, at SGX-ST's premises or elsewhere; and
      (2) provide SGX-ST with information, books and records which, in SGX-ST's opinion, may be relevant to the investigation.
    • 14.1.4

      A Trading Member, Director, Trading Representative, Officer, employee or agent must not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to SGX-ST.

    • 14.1.5

      SGX-ST may appoint any person or persons to assist in its investigation (the "Exchange Examiners").

    • 14.1.6

      SGX-ST may delegate all or any of its powers under this Rule to the Exchange Examiner. The Exchange Examiner must report the results of the investigation to SGX-ST.