Whole Section

  • 4.25 Statements of Account to Customers

    • 4.25.1

      A Trading Member must send its customers statements of account on a regular basis in accordance with:

      (a) in the case of a Trading Member that holds a Capital Markets Services Licence, Regulation 40 of the SFR (Licensing and Conduct of Business); and
      (b) in the case of a Remote Trading Member, such requirements as may be prescribed by the Relevant Regulatory Authority. The Remote Trading Member shall immediately notify SGX-ST of any changes to such requirements. Notwithstanding the foregoing, SGX-ST shall have the discretion to prescribe additional requirements.

      Refer to Regulatory Notice 4.13, 4.16, 4.24, 4.25 and 4.29.

      Added on 3 June 20193 June 2019.

    • 4.25.2

      If asked by SGX-ST, a Trading Member must produce a copy or record of the statements of account in substantially the same form and containing the same information as given to customers.

      Added on 3 June 20193 June 2019.