assure status of Sponsored Access customer that delegates Member to have measures on specific requirements $2,000 $4,000 $7,000 – – – Compoundable N.A N.A N.A N.A N.A N.A N.A. relating to $4,000 $7,000 $10,000 2.1.2A(2)(b) delegation of Sponsored Access Exchange to direct Member to Not suspend or Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 Compoundable 2.1.2B(a) terminate Direct Market Access Member to have ability to Not suspend or Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 Compoundable 2.1.2B(b) terminate Direct Market Access 2.6 Technical Matters & Risk Management Controls Member to have measures for security Not 2.6.2 Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 arrangements on Compoundable Direct Market Access Member to ensure that systems and $2,000 $4,000 $7,000 – – – Compoundable N.A N.A N.A N.A N.A N.A N.A. 2.6.2A r/w connections to $4,000 $7,000 $10,000 Regulatory Notice the Markets operate properly Corporate Member to comply with $2,000 $4,000 $7,000 – – – 2.6.3 requirements Compoundable N.A. N.A. N.A. N.A. N.A. N.A. N.A. $4,000 $7,000 $10,000 relating to risk management controls Corporate Member to $2,000 $4,000 $7,000 – – – 2.6.3(1)(a) monitor credit Compoundable N.A. N.A. N.A. N.A. N.A. N.A. N.A. $4,000 $7,000 $10,000 from acceptance of
assure status of Sponsored Access customer that delegates 2.1.2A(2)(b) Member to have measures on specific requirements relating to delegation of Sponsored Access 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. 2.1.2B(a) Exchange to direct Member to suspend or terminate Direct Market Access Not Compoundable Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 2.1.2B(b) Member to have ability to suspend or terminate Direct Market Access Not Compoundable Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 2.6 Technical Matters & Risk Management Controls 2.6.2 Member to have measures for security arrangements on Direct Market Access Not Compoundable Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 2.6.2A r/w Regulatory Notice Member to ensure that systems and connections to the Markets operate properly 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. 2.6.3 Corporate Member to comply with requirements relating to risk management controls 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. 2.6.3(1)(a) Corporate Member to monitor credit from acceptance of 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.
SGX_FTR_Mar_15_2013.docx