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7.4.1 Commencement of Investigations

Past version: Effective up to 31 Mar 2014

The Exchange may conduct an investigation if:

(a) the Exchange is satisfied that any Rule Violation has been, or may have been committed;
(b) the Exchange receives a complaint involving any Member, Approved Trader or Registered Representative or any Member's director, officer, employee or agent;
(c) there is a dispute between Members, Approved Traders or Registered Representatives in connection with trading on any market; or
(d) in the Exchange's opinion, having regard to its obligation to maintain a fair, orderly and transparent market, the circumstances warrant an investigation.