Clearing Member to be fully responsible for $2,000 $4,000 $7,000 – – – (g) Compoundable N.A. N.A. N.A. N.A. N.A. N.A. N.A. the conduct of $4,000 $7,000 $10,000 business of its Affiliate Member to maintain current register of (h) Compoundable $500 $1,000 $2,000 N.A. N.A. N.A. N.A. N.A. N.A. N.A. Customers granted Bypass Privileges Clearing Member to for Bypass Privileges on behalf of $2,000 $4,000 $7,000 – – – Compoundable N.A. N.A. N.A. N.A. N.A. N.A. N.A. Customers only if $4,000 $7,000 $10,000 the financial requirements are met Clearing Member to notify the $2,000 $4,000 $7,000 – – – (a) Compoundable N.A. N.A. N.A. N.A. N.A. N.A. N.A. Exchange of $4,000 $7,000 $10,000 overtrading Clearing Member to cause Customer to enter into a bypass (b) Not Compoundable Not Compoundable N.A. N.A. N.A. N.A. N.A. N.A. $10,000 undertaking in such form as prescribed by the Exchange Clearing Member to cause appointment of (c) Not Compoundable Not Compoundable N.A. N.A. N.A. N.A. N.A. N.A. $10,000 external auditor to confirm the matters specified Chapter 3 Conduct of Members, Approved Traders and Representatives — 3.3 Duties of Members Undertaking Agency Trades Member to provide Internet Trading online Customers with 3.3.5 adequate Compoundable $500 $1,000 $2,000 N.A N.A N.A N.A N.A N.A N.A information, guidance and training with respect to the
(g) Clearing Member to be fully responsible for the conduct of business of its Affiliate Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A. N.A. N.A. N.A. N.A. N.A. N.A. (h) Member to maintain current register of Customers granted Bypass Privileges Compoundable $500 $1,000 $2,000 N.A. N.A. N.A. N.A. N.A. N.A. N.A. Clearing Member to for Bypass Privileges on behalf of Customers only if the financial requirements are met Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A. N.A. N.A. N.A. N.A. N.A. N.A. (a) Clearing Member to notify the Exchange of overtrading Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A. N.A. N.A. N.A. N.A. N.A. N.A. (b) Clearing Member to cause Customer to enter into a bypass undertaking in such form as prescribed by the Exchange Not Compoundable Not Compoundable N.A. N.A. N.A. N.A. N.A. N.A. $10,000 (c) Clearing Member to cause appointment of external auditor to confirm the matters specified Not Compoundable Not Compoundable N.A. N.A. N.A. N.A. N.A. N.A. $10,000 Chapter 3 — Conduct of Members, Approved Traders and Representatives 3.3 Duties of Members Undertaking Agency Trades 3.3.5 Member to provide Internet Trading online Customers with adequate information, guidance and training with respect to the Compoundable $500 $1,000 $2,000 N.A N.A N.A N.A N.A N.A N.A
SGX_FTR_Mar_15_2013.docx