SGX

新加坡交易所

申報責任人士及申報方式
 Who must report & How to report

Who must  report

(A)  Exchange General Trading  Members (who is also a Clearing Member of SGXDC) Undertaking Agency Trades

1.           A  Member shall submit to the Exchange a daily report of Open Positions. Such  report shall be in such form as the Exchange may prescribe from time to time;  

2.           A  Member shall submit to the Clearing House, in the manner as prescribed from  time to time, the identities of the owners or controlling parties of any  House Account or Customer Account which:

(a) is used for trading of Contracts or  carrying of Contracts; or

(b) contains positions required to be  reported pursuant to relevant Rules as prescribed by the Clearing House.

(B)  The Omnibus Account holder

Upon request by the Exchange, a Member  shall obtain the information required regarding the ownership and control of  Open Positions within any Omnibus Account and any sub-account of any Omnibus  Account. However, if the Omnibus Account holder does not want the identity of  any sub-account holder to be disclosed to its carrying Member, the Omnibus  Account holder may apply to the Exchange for a special identification for the  sub-account thereof, for reporting Open Positions covered through its  carrying Member.

An  Omnibus Account holder shall at all times disclose to the Member carrying that  account the gross long and short positions held in that Omnibus Account in  each contract. Such Member shall immediately notify the Exchange and shall  promptly comply with all orders of the Exchange if the Omnibus Account holder  fails to make such disclosure. A Member that carries Omnibus Accounts shall  ensure that its Omnibus Account holders are aware of exchange Rules.

How to report

Details of  information should be submitted via the Exchange’s electronic submission  system (SGX Data Submission System) or via such other modes that the Exchange  considers appropriate.

The  operational procedures and timelines in relation to the submission and  procedure for the completion of required reporting Form are set out in Regulatory  Notice 3.3.17;3.3.18;3.3.26; 3.3.27 Financial Statements and Other  Information to be Submitted by Members Via SGX Data Submission System.  Please click link below to view:

https://rulebook.sgx.com/rulebook/appendix-2-regulatory-notice-3317-3318-3326-3327-financial-statements-and-other

負有申報責任人士：

（A）從事代理經紀業務的交易所一般交易會員（同時為SGX  DC清算會員）

1.           該等會員應向交易所提交一份未平倉寸的每日報告，該報告應采用交易所規定形式，該格式可能應結算所要求不時變化。

2.           會員應按結算所規定的格式，而該格式可能應結算所要求不時變化，向結算所提交其自營賬戶/其客戶賬戶的用有人/控制人識別信息，當該等賬戶：

a.           用以合約的交易及交割；

b.           根據清算所相關申報規定，持有需申報倉位的；

（B）綜合賬戶持有人

應交易所要求，交易會員應獲得有關任何綜合賬戶和其子賬戶的所有權和控制權的信息。然而，如果綜合賬戶持有人不希望任何子賬戶持有人的身份向其代理經紀（交易會員）披露，綜合賬戶持有人可向交易所為其子賬戶申請特殊標識，以通過其代理經紀報告持倉信息。

綜合賬戶持有人應隨時向持有該賬戶的交易會員披露該綜合賬戶中持有的各合約總多頭和空頭頭寸。如果綜合賬戶持有人未能進行上述披露，該等會員應立即通知該交易所，並應立即遵守該交易所的所有命令。持有綜合賬戶的會員應確保其綜合賬戶持有人了解交易所規則。

申報方式：

詳細信息應通過交易所的電子提交系統（SGX數據提交系統）或通過交易所認為適當的其他方式提交。

與提交和完成要求報告表格的程序有關的操作程序和時間要求詳載於監管通知，請訪問下方鏈接了解：

https://rulebook.sgx.com/rulebook/appendix-2-regulatory-notice-3317-3318-3326-3327-financial-statements-and-other

申報時間

Deadline for  reports submission

Reporting of  Open Positions(Form BC3A)

Before 11.00am  on the following Business Day.

Reporting of  Account Identity(Form BC4A)

1.           Within  3 Business Days after a new account has commenced trading.

2.           BC4A  for Trading Member (Individual) and Trading Representatives (means dealers'  representatives who are trading for their own account) (including those who  are changing their qualifying Clearing Member) shall be submitted at least 1  Business Day before they commence trading.

未平倉合約報告（BC3A表格）

在下一個工作日的上午11時前

賬戶身份識別報告（BC4A表格)

1. 在一個新賬戶開始交易後的3個工作日內。

2. 交易會員（個人）和交易代表（指為自己的賬戶進行交易的交易商代表）（包括更換其合資格清算會員）應在開始交易前至少1個工作日提交。

持倉責任及持倉限制

Position  Accountability & Position Limit

The Exchange  may, from time to time, establish limits on the positions owned or controlled  by any Person or Persons acting in concert with respect to any Contract. A  Clearing Member may apply on behalf of any Person for an increase in that Person's  position limits in applicable Contracts, subject to the conditions set forth  in the Clearing Rules.

The Exchange  may establish position accountability thresholds on the positions owned or  controlled by any Person or Persons acting in concert with respect to any  Contract where limits on positions are not applied.

Please check Contract  Specifications of each Contracts for Position Accountability/Position Limit  information by visiting：

https://www.sgx.com/derivatives/products

交易所可隨時就任何合約對任何人/一致行動人所擁有或控制的倉位設定限制。結算會員在遵守結算規則中規定的條件下，可代表該等任何人/一致行動人申請提高其持倉上線。在不適用持倉限制的情況下，交易所可隨時就任何合約要求任何人/一致行動人就所擁有或控制的倉位履行持倉責任。

請訪問以下網站查看每個合約的合約標准，以獲取持倉責任及持倉限制信息：

https://www.sgx.com/derivatives/products

需報告資料

Information  required

1.Reporting  of Open Positions (BC3A)

A Member  shall record, using Form BC3A, a daily report of Open Positions in all  accounts at the end of each Trading Day. The Form BC3A shall be submitted to  the Exchange in accordance with the operational procedures and timelines set  out. For disclosed Omnibus Accounts, a Member shall report the Open Positions  in each sub-account.

2. Reporting  of Account Identity (BC4A)

Except for  Trading Members that engage solely in House Trades and Proprietary Trades of  its Affiliates, a Member is required to submit to the Exchange, using Form  BC4A, details of any new account which is used for trading and/or carrying of  trades done on Exchange, other exchanges and over-the-counter.

If the  account is a disclosed omnibus account, Form BC4A must be submitted for each  sub-account. However, if the account is an undisclosed omnibus account and  the sub-accounts are not used for position reporting, Form BC4A is not  required for the sub-account(s). Members need not submit Form BC4A to the  Exchange for trading accounts which are to be linked to a position account  using the Clearing System.

3.Upon  request by the Exchange, a Member shall provide information, including but  not limited to, the nature and size of the position, the trading strategy  employed with respect to the position, and hedging information (if  applicable), of any Person or Persons acting in concert with respect to any  Contract when such position accountability thresholds have been exceeded.

1.未平倉合約報告（BC3A表格）

交易會員應使用BC3A表格，在每個交易日結束時記錄所有賬戶的每日未平倉報告。BC3A表格應按照規定的操作程序和時間要求提交給交易所。對於應披露的綜合賬戶，交易會員應報告每個子賬戶的未平倉寸。

2.賬戶身份識別報告（BC4A表格)

除僅從事自營交易的交易會員外，交易會員必須使用BC4A表格向交易所提交在交易所/其他交易所/場外交易進行交易/交割的任何新賬戶的詳細信息。

如果該賬戶披露為綜合賬戶，則必須為其每個子賬戶提交BC4A表格。但是，如果該賬戶未披露為綜合賬戶，且其子賬戶無需提交BC4A表格。

如交易賬戶使用清算系統與結算賬戶掛鉤，則無需就該賬戶提交BC4A表格。

3.在任何人/一致行動人所擁有或控制的倉位達到持倉責任標准，交易會員需應交易所要求提供信息，包括但不限於持有頭寸的性質和規模、與持有頭寸相關的交易策略，以及對沖信息（如適用）。

合計倉位的規定

Aggregation  requirements

With respect  to the computation of position limits and position accountability, the  positions of all accounts directly or indirectly owned or controlled by a  Person or Persons, and the positions of all accounts of any Person or Persons  acting in concert and the positions of all accounts in which a Person or  Persons have a proprietary or beneficial interest, shall be accumulated and  deemed to be positions of each of such Persons as if each owned or controlled  all the accumulated positions individually. The Exchange may from time to  time provide exemptions.

關於持倉責任及持倉限制的計算，個人/合夥直接或間接擁有或控制的賬戶內的持倉，以及該個人及其一致行動人的賬戶內的持倉，以及個人/合夥擁有所有權或經濟利益的賬戶內的持倉，應累積計算，並視為該等個人/合夥的每個人擁有或控制就該等合計倉位。交易所亦可不時提供豁免權。