Whole Section

  • Investigations

    • 1407

      The Exchange may conduct an investigation if:

      (1) the Exchange has reason to believe that there is a possibility that any Relevant Rule has been contravened by a Relevant Person;
      (2) the Exchange receives a written complaint involving a Relevant Person;
      (3) the Authority so directs; or
      (4) the Exchange is of the opinion that the circumstances warrant it.

      Added on 7 October 20157 October 2015.

    • 1408

      For the purposes of an investigation, the Exchange may require that a Relevant Person comply with one or more the following requests:

      (1) to render all reasonable acts of assistance, at the Exchange's premises or elsewhere, including:
      (a) requests for information or written explanations; or
      (b) requests for meetings to record statements from the Relevant Person;
      (2) to provide copies of documents or electronic records in the possession of the Relevant Person by a specified date which shall be no less than 5 business days from the date of the request; or
      (3) to obtain copies of documents or electronic records which may be reasonably obtained by the Relevant Person by a specified date which shall be no less than 7 business days from the date of the request. Where such documents or electronic records cannot be obtained, the Relevant Person shall provide a written explanation to:
      (a) indicate why the documents or electronic records cannot be obtained; and
      (b) indicate what steps have been taken to obtain the documents or electronic records.

      Added on 7 October 20157 October 2015.

    • 1409

      (1) Any Relevant Person complying with a request for information, documents or electronic records from the Exchange shall take due care to ensure that such information, documents or electronic records provided to the Exchange are complete and not false or misleading in any material particular.
      (2) Any Relevant Person shall not wilfully make, furnish, authorize, or permit the giving of incomplete, false or misleading information, documents or electronic records to the Exchange.

      Added on 7 October 20157 October 2015 and amended on 7 February 20207 February 2020.

    • 1410

      (1) The Exchange may appoint any person or persons to assist in its investigation ("Exchange Examiner"). The Exchange may delegate all or any of its powers under Rule 1408 to the Exchange Examiner. The Exchange Examiner shall report the results of the investigation to the Exchange.
      (2) The Exchange may refer any investigations to another relevant investigating authority if the Exchange is of the opinion that the circumstances warrant the referral.

      Added on 7 October 20157 October 2015.