11.1 Clearing House Investigations
CDP may conduct an investigation if:—(1) the investigation involves a possible breach of the SFA, the Clearing Rules or any Clearing Directives;(2) CDP receives a written complaint involving a Clearing Member, director, officer, employee or agent;(3) there is a dispute between Clearing Members on a clearing and settlement matter; or(4) in CDP's opinion, the circumstances warrant it.
CDP shall conduct an investigation if the Authority directs it.
CDP may require a Clearing Member, any of its directors, officers, employees or agents to:—(1) render all assistance as CDP requires, at CDP's premises or elsewhere; and(2) provide CDP with information, books and records which, in CDP's opinion, may be relevant to the investigation.
A Clearing Member, directors, officer, employee or agent shall not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to CDP.
CDP may appoint any person or persons to assist in its investigation (the "Clearing House Examiners").
CDP may delegate all or any of its powers under this Rule to the Clearing House Examiner. The Clearing House Examiner shall report the results of the investigation to CDP.