4.13.1

Past version: Effective up to 14 Sep 2017

Without prejudice to this Rules, it shall be an minor offence for a Clearing Member to:—

4.13.1 be guilty of dishonourable or uncommercial conduct;
4.13.2 make a false entry on a clearing sheet;
4.13.3 fail to answer Customers' complaints promptly;
4.13.4 violate any rule, the violation of which is not a major offence; and
4.13.5 make a mis-statement to the Board, the Clearing House or to a committee, or in relation to any information supplied to the Clearing House or its officials.

Amended on 27 March 200627 March 2006.