Whole Section

  • Chapter 3 Committees

    • 3.01 Disciplinary Committee

      • 3.01.1

        The Disciplinary Committee may conduct hearings and investigations on those matters over which it is assigned jurisdiction by Chapter 4.

      • 3.01.8

        Procedures may be issued in relation to Disciplinary Committee proceedings. The procedures are binding on all the parties to the proceedings and may be varied by the Disciplinary Committee as provided in the procedures or this Rules. Where any matter is not dealt with by the procedures or this Rules, the Disciplinary Committee may establish its own procedures.

        Refer to the [Disciplinary Committee and Appeals Committee Handbook].

        Added on 27 March 200627 March 2006 and amended on 3 June 20193 June 2019.

    • 3.02 Appeals Committee

      • 3.02.1

        The Appeals Committee may conduct appellate hearings and investigations over which it is assigned jurisdiction by Chapter 4.

      • 3.02.2

        The Appeals Committee shall comprise persons appointed by the SGX RegCo Board and approved by the Authority provided that:—

        3.02.2.1 the Appeals Committee shall not have a member who is, or who within three years of the proposed appointment date was, a director, officer or employee of:
        (a) SGX;
        (b) any or any of SGX's related corporations
        3.02.2.2 a majority of the Appeals Committee shall not be directors, officers or employees of the members of SGX or SGX's subsidiaries; and
        3.02.2.3 a majority of the Appeals Committee shall not be substantial shareholders of SGX or directors, officers or employees of any substantial shareholder of SGX.

        Added on 27 March 200627 March 2006 and amended on 15 September 201715 September 2017 and 3 June 20193 June 2019.

      • 3.02.3

        The powers of the Appeals Committee include:—

        3.02.3.1 all the powers of the Disciplinary Committee;
        3.02.3.2 varying the sanctions imposed by the Disciplinary Committee, and overturning, varying or upholding any decision or specific findings of the Disciplinary Committee;
        3.02.3.3 hearing and deciding appeals in accordance with this Rules; and
        3.02.3.4 dealing with such other matters as the SGX RegCo Board gives it (either generally or in a particular case).

        Added on 27 March 200627 March 2006 and amended on 15 September 201715 September 2017 and 3 June 20193 June 2019.

      • 3.02.3A

        A failure to comply with any sanction imposed by the Appeals Committee constitutes a breach of this Rules.

        Added on 3 June 20193 June 2019.

      • 3.02.4

        The SGX RegCo Board shall appoint the chairman and the deputy chairman of the Appeals Committee. In the absence of the chairman, the deputy chairman will have all the powers of the chairman.

        Added on 27 March 200627 March 2006 and amended on 3 June 20193 June 2019.

      • 3.02.9

        Procedures may be issued in relation to Appeals Committee proceedings. The procedures are binding on all the parties to the proceedings and may be varied by the Appeals Committee as provided in the procedures or this Rules. Where any matter is not dealt with by the procedures or this Rules, the Appeals Committee may establish its own procedures.

        Refer to the [Disciplinary Committee and Appeals Committee Handbook].

        Amended on 3 June 20193 June 2019.