11.1.1

Past version: Effective up to 02 Jun 2019

CDP may conduct an investigation if:—

(1) the investigation involves a possible breach of the SFA, Securities and Futures Regulations, 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.