Plus Package Courses

Introduction to SGX Securities Regulation (SGXST-01)


Description
This course highlights and explains the relevant Securities Trading Rules for those who trade products in SGX’s Securities Market (SGX-ST).

Trading on the SGX-ST exchange is facilitated by Trading Members who must meet stringent financial requirements, including minimum capital levels, to ensure they can fulfill obligations and are subject to regulatory oversight to mitigate risks they pose to the system.

Copyright
Copyright © MIntegrity. All rights reserved. No part of this learning material may be reproduced, distributed, or transmitted in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, without the prior written permission of the publisher.

Disclaimer
This e-learning content should be used as a guide only and is not meant to replace any specific advice from your employer. Please be sure to take specialist advice if you are in doubt. MIntegrity, its employees and contractors disclaim all and any liability to any persons whatsoever in respect of anything done by any person in reliance, whether whole or in part, on this e-learning content.
Content
  • Introduction - Learning Outcomes
  • Micro-Module 1 - Markets Regulation overview
  • Regulation – Market Operators
  • Regulation – Trading Members
  • Regulation – Government Regulation
  • Rules and Regulations
  • Knowledge Check – Singapore Markets Regulation
  • Knowledge Check – Rules and Regulations
  • Close of Micro-module 1
  • Micro Module 2 - Supervision and Risk Management
  • Securities and Futures Act
  • Securities Trading Rules requirements
  • Securities Trading Rules requirements
  • Securities Trading Rules requirements - Registration
  • Knowledge Check - Securities Trading Rules
  • Knowledge Check – Supervision & Risk Management
  • Close of Micro-module 2
  • Micro Module 3 - Trading members
  • Access to Market
  • Knowledge Check - DMA
  • Knowledge Check - Access to market
  • Close of Micro-module 3
  • Micro Module 4 - Trading Practices and Prohibited Conduct
  • Trading Practices
  • Trading Duties
  • Duties of members undertaking Agency Trades
  • Contract Rules
  • Market manipulation – Securities and Futures Act
  • Market manipulation - Securities Trading Rules
  • Prohibited Conduct - Securities Trading Rules
  • Knowledge Check – Agency Trades
  • Knowledge Check – Contract Rules
  • Knowledge Check - Market manipulation
  • Close of Micro-module 4
  • micro module 5 - orders and trading
  • Orders
  • Trading Basis of Securities Rule 8.6
  • Error Trades
  • Cancellation of Contracts and Trades
  • Cancellation of Error Trades
  • Circuit Breakers
  • Securities Trade Matching rules
  • Trades at Close
  • Short Selling
  • Short Selling Requirements
  • Knowledge Check - Orders
  • Knowledge Check – Error Trades
  • Close of Micro-module 5
  • micro module 6 - Governance, escalation and Reporting
  • Corporate Governance Framework
  • Escalation and Self-Reporting
  • Example of matter to be reported
  • Private disciplinary action
  • Knowledge Check - Escalation
  • Close of Micro-module 6
  • Micro module 7 - Consequences of Misconduct
  • Consequences of Misconduct
  • Misconduct - Case Study 1
  • Misconduct - Case Study 2
  • Knowledge Check – Consequences of Misconduct
  • Knowledge Check - Conduct
  • Close of Micro-module 7
  • Final Knowledge quiz
  • Introduction to SGX-ST - Final Knowledge Quiz
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: 1 year