Whole Section

  • 4.01A Clearing House Investigations

    • 4.01A.1

      The Clearing House may conduct an investigation if:—

      4.01A.1.1 the investigation involves a possible breach of the SFA, SFR, this Rulesand/or any applicable laws;
      4.01A.1.2 the Clearing House receives a written complaint involving a Clearing Member, director, officer, employee or agent;
      4.01A.1.3 there is a dispute between Clearing Members on a clearing or settlement matter; or
      4.01A.1.4 in the Clearing House's opinion, the circumstances warrant.

      Added on 27 March 200627 March 2006 and amended on 31 December 201331 December 2013.

    • 4.01A.3

      The Clearing House may require a Clearing Member, any of its directors, officers, employees or agents to:—

      4.01A.3.1 render all assistance as the Clearing House requires, at the Clearing House's premises or elsewhere; and
      4.01A.3.2 provide the Clearing House with information, books and records which, in the Clearing House's opinion, may be relevant to the investigation.

      Added on 27 March 200627 March 2006.

    • 4.01A.4

      A Clearing Member, director, officer, employee or agent must not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to the Clearing House.

      Added on 27 March 200627 March 2006.

    • 4.01A.5

      The Clearing House may appoint any person or persons to assist in its investigation (the "Clearing House Examiners").

      Added on 27 March 200627 March 2006.

    • 4.01A.6

      The Clearing House may delegate all or any of its powers under this Rule to the Clearing House Examiner. The Clearing House Examiner must report the results of the investigation to the Clearing House.

      Added on 27 March 200627 March 2006.