Notice on Supervision of Market Participants (SFA 02-N02)

Requirements for supervision of market participants by Recognised Market Operators

Applies to: Markets and Exchanges

View Notice Notice on Supervision of Market Participants (SFA 02-N02) (171.4 KB)

This Notice sets out the requirements for Recognised Market Operators in terms of participant compliance with business rules and Part XII of Securities Futures Act, participant access to markets, and notifications in relation to disciplinary actions taken against a participant.

8 Feb 2023: SFA02-N02 (Amendment No. 2) 2023 (178.6 KB)takes effect
27 Jan 2023: SFA02-N02 (Amendment) 2023 (177.7 KB)takes effect
19 Aug 2022: SFA02-N02 (Amendment No. 2) 2022 (174.7 KB)takes effect
23 Mar 2022: SFA02-N02 (Amendment) 2022 (174.8 KB) takes effect
22 Dec 2021: SFA02-N02 (Amendment No. 3) 2021 (173.2 KB) takes effect
14 May 2021: SFA02-N02 (Amendment No. 2) 2021 (172.4 KB) takes effect
06 Jan 2021: SFA02-N02 revised on 6 Jan 2021 (166.7 KB)
06 Jan 2021: SFA02-N02 (Amendment) 2021 (171.6 KB) takes effect
01 Dec 2020: SFA02-N02 revised on 1 Dec 2020 (166.7 KB)
01 Dec 2020: SFA02-N02 (Amendment No. 2) 2020 (164.9 KB) takes effect
18 May 2020: SFA02-N02 revised on 18 May 2020 (568.5 KB)
18 May 2020: SFA02-N02 (Amendment) 2020 (573.3 KB) takes effect
13 Dec 2019: SFA02-N02 revised on 13 Dec 2019 (498.8 KB)
13 Dec 2019: SFA02-N02 (Amendment No. 2) 2019 (502.2 KB) takes effect
01 Mar 2019: SFA02-N02 revised on 1 March 2019 (497.7 KB)
01 Mar 2019: SFA02-N02 (Amendment) 2019 (501.3 KB) takes effect
15 Nov 2018: SFA02-N02 revised on 15 Nov 2018 (498 KB)
15 Nov 2018: SFA02-N02 (Amendment) 2018 (495 KB) takes effect
5 Oct 2018: SFA02-N02 issued on 5 Oct 2018 (556.6 KB)