Versions

 

7.2.1 Disciplinary Action

Past version: Effective up to 15 May 2011

The Exchange may charge a Member, Approved Trader or Registered Representative before the Disciplinary Committee if an investigation or inspection reveals that the Member, Approved Trader or Registered Representative has committed a Rule Violation. The Exchange may, in lieu of a referral to the Disciplinary Committee, issue a letter of warning to the Member, Approved Trader or Registered Representative concerned.