Whole Section

  • 4.09A Notification of Decision

    • 4.09A.1

      The Clearing House will notify all Clearing Members and Authorised Clearing Members of all charges established by the Disciplinary Committee (together with such details as the Clearing House thinks appropriate).

      Added on 8 June 20058 June 2005.

    • 4.09A.2

      The Clearing House may make the decision public (together with such details as the Clearing House thinks appropriate). For avoidance of doubt, this includes publication of the following information:—

      4.09A.2.1 the particulars of the Clearing Member charged;
      4.09A.2.2 the particulars of the charge;
      4.09A.2.3 the underlying facts in respect of the charge;
      4.09A.2.4 the findings and decision of the Disciplinary Committee or the Appeals Committee (as applicable);
      4.09A.2.5 the basis of the findings and decision of the Disciplinary Committee or the Appeals Committee (as applicable); and
      4.09A.2.6 the powers exercised by the Disciplinary Committee or the Appeals Committee (as applicable).

      Added on 8 June 20058 June 2005 and amended on 27 March 200627 March 2006.

    • 4.09A.3

      This Rule operates as irrevocable consent by a Clearing Member and an Authorised Clearing Member for the Clearing House to publish or notify a decision. The consent remains valid and effective notwithstanding that the person ceases to be a Clearing Member or Authorised Clearing Member. A Clearing Member or Authorised Clearing Member cannot initiate any action or proceeding against the Clearing House or members of the Disciplinary Committee or Appeals Committee for publishing or notifying a decision under this Rule.

      Added on 8 June 20058 June 2005.