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1402

For the purposes of this Chapter, a Relevant Person is deemed to have contravened a Relevant Rule when a Relevant Person has:

(1) committed an act in breach of a Relevant Rule;
(2) omitted to do an act which resulted in a breach of a Relevant Rule;
(3) failed to comply with a requirement imposed by the Exchange;
(4) failed to comply with a requirement imposed or an order issued by the Disciplinary Committee or Appeals Committee;
(5) caused another Relevant Person to commit an act in breach of a Relevant Rule;
(6) caused another Relevant Person to omit to do an act which resulted in a breach of a Relevant Rule;
(7) caused another Relevant Person to fail to comply with a requirement imposed by the Exchange; or
(8) caused another Relevant Person to fail to comply with a requirement imposed or order issued by the Disciplinary Committee or the Appeals Committee.

Added on 7 October 20157 October 2015.