Versions

 

11.1.1

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.

Amended on 3 June 20193 June 2019.