Regulation 39

particulars of every customer, including particulars that satisfy such notices and guidelines as may be issued by the Authority under the Act;

the name of any person —

guaranteeing the settlement of any amount owed in a customer’s account in respect of which a regulated activity is carried out by the holder;

who can give instructions to the holder on the carrying out of a regulated activity with respect to a customer’s account; or

who has trading authority or exercises any control with respect to a customer’s account;

[Deleted by S 543/2003](d)particulars of every transaction carried out on behalf of customers, including —

a description and the quantity of the assets that are the subject of the transaction;

the price and fee arising from the transaction;

the name of the customer on whose behalf the transaction is entered into;

the name of the counterparty to the transaction; and

the transaction date and settlement or delivery date;

the terms and conditions of the transaction; and

if any collateral is received, a description of the collateral received;

a separate record maintained for each customer stating, where applicable —

the amount and description of each asset paid or deposited in the trust account and custody account as required by regulations 16 and 26 respectively and the date of such payment or deposit;

the date and quantity of each transfer of assets from or to the trust account and custody account arising from any asset borrowing or lending activity or otherwise;

the date, amount and purpose of each withdrawal from the trust account or custody account;

the date and amount of, and the reason for, each disposal of collateral from the trust account or custody account;

whether the customer has a trust account or custody account maintained by the holder solely for that customer, or shares the same trust account or custody account with other customers of the holder; and

the names of the custodians with whom the holder deposits any assets of the customer;

particulars of each asset that is not the property of the holder and for which the holder or any nominee controlled by the holder is accountable, indicating by whom and for whom the asset or the document of title to the asset is held and the extent to which it is held for safe custody by a third party or mortgaged, charged, pledged or hypothecated in accordance with regulation 34;

particulars of every underwriting and placement transaction entered into by the holder including, where applicable —

the amount which the holder committed to underwrite;

the amount underwritten due to under-subscription;

the amount allotted to each subscriber;

the amount placed with each placee; and

the amount subscribed by each subscriber or placee (including any related company);

particulars of every proprietary transaction of the holder including, where applicable —

the description and quantity of the assets concerned;

the price and fee arising from the transaction;

the transaction date and settlement or delivery date;

the name of the counterparty to the transaction; and

the realised or unrealised gain or loss;

particulars of all income and expenses of the holder;

particulars of all assets and liabilities (including contingent liabilities) of the holder and, in the case of assets, showing by whom these assets or the documents of title to these assets are held and, where they are held by some other person, whether or not they are held as security against loans or advances; and

particulars of every transaction in relation to any OTC derivatives contract entered into on behalf of, or with, the holder’s customers, including —

the price at which the OTC derivatives contract was executed;

the fees or commission and other expenses paid in relation to the transaction; and

the terms and conditions of the transaction, including margin requirements relating to the transaction.

for each customer, every power of attorney or other document authorising the holder or its representative to operate the account of the customer on a discretionary basis;

every written agreement, or copy thereof, entered into by the holder with its customer;

every acknowledgment of a customer received under regulation 47E(1)(b) which shall be in Form 13;

every acknowledgment of a customer received under regulation 47E(2) which shall be in Form 14;

every statement acknowledging receipt of assets from a customer indicating the person in whose name the assets are registered;

every order, whether filled, unfilled, amended or cancelled, which has been prepared or received in the course of the business of the holder;

every report, letter, circular, memorandum, publication, advertisement and other literature or advice distributed by the holder to any existing or prospective customer, indicating the date of publication;

every report, statement, submission, letter, journal, ledger, invoice, and other record, data or memoranda, which has been prepared or received in the course of business of the holder;

written confirmation of every transaction to purchase or sell any capital markets products and every purchase and sale contract note and statement of account in respect of such transaction, being a transaction to which any of the following is a party:

the holder;

except where the holder is one referred to in sub-paragraph (iii), an executive director of the holder, if the transaction is a personal transaction of such executive director; and

where the holder is a branch or subsidiary of a foreign company with its head office located outside Singapore, an executive director of the holder who is directly involved in its operations and business, if the transaction is a personal transaction of such executive director;

written confirmation of every transaction referred to in paragraph (1)(d) prepared by the holder as principal or as agent of a customer, and every purchase and sale contract note and statement of account in respect of such transaction prepared by the holder as principal or as agent of the customer, as the case may be, or received from any other party, whether licensed in Singapore or elsewhere; and

in respect of every underwriting and placement transaction entered into by the holder, documentation stating the basis of allotment to each subscriber or placee, as the case may be.

as soon as practicable upon the receipt of a customer’s order for capital markets products that are securities and units in a collective investment scheme that are not quoted on an organised market or the receipt of any amendment or cancellation of such an order, prepare and keep a written record of —

the particulars of the customer’s instruction in the order;

the date of receipt of the order, amendment or cancellation; and

where the instruction in respect of the order, amendment or cancellation is placed through an Internet-based trading platform, the Internet protocol address from which the instruction is received;

as soon as practicable upon the execution of an order mentioned in sub-paragraph (a), prepare and keep a written record of the particulars of the transaction, including —

the date of the execution of the order; and

any subsequent variation to the order;

as soon as practicable upon the receipt of a customer’s order for capital markets products other than securities and units in a collective investment scheme that are not quoted on an organised market or the receipt of any amendment or cancellation of such an order, prepare and keep a written record of —

the particulars of the customer’s instruction in the order;

the date and time of receipt of the order, amendment or cancellation;

where the instruction in respect of the order, amendment or cancellation is placed through an Internet-based trading platform, the Internet protocol address from which the instruction is received; and

where the order, amendment or cancellation is transmitted to a member of an organised market or to the trading floor of such an organised market, the date and time the order, amendment or cancellation is transmitted;

as soon as practicable upon the execution of an order mentioned in sub-paragraph (c), prepare and keep a written record of the particulars of the transaction, including —

the date and time of the execution of the order; and

any subsequent variation to the order.

the arbitrageur or market-maker, as the case may be, has given prior written consent for the holder not to prepare and keep the records as required in paragraph (3);

the transaction is executed on the trading floor; and

the transaction is entered into in accordance with the business rules or practices of the approved exchange.