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3.4.6 Professional Misconduct

A Member, Approved Trader or Registered Representative shall not:

(a) permit the use of the Member's facilities or Membership privileges by another Member, Approved Trader or Registered Representative or non-Member in a manner that impairs the dignity or degrades the good name of the Exchange, or creates a market or other situation detrimental to the Exchange, or effectuates manipulations or cornerings or attempts at either, or to itself do any of the foregoing;
(b) engage in any conduct which impairs or tends to impair the dignity or the good name of the Exchange;
(c) commit an act which is substantially detrimental to the interest of the Exchange;
(d) refuse to comply with an order of the Exchange, the Disciplinary Committee or the Appeals Committee;
(e) refuse to comply with a final arbitration award;
(f) fail to answer Customers' complaints promptly and in appropriate detail;
(g) commit any fraudulent or dishonest act or any act of bad faith;
(h) act in a dishonourable or uncommercial manner;
(i) make a material mis-statement to the Exchange, the Disciplinary Committee or the Appeals Committee, or in any information supplied to the Exchange or its officers;
(j) make, or cause to be made, a false or misleading entry in any books, records, reports, slips, documents or statements relating to the business, affairs, transactions, conditions, assets or accounts of the Member;
(k) omit from making, for whatever reason, a material entry in any books, records, reports, slips, documents or statements relating to the business, affairs, transactions, conditions, assets or accounts of the Member;
(l) alter or destroy any books, records, reports, slips, documents or statements relating to the business, affairs, transactions, conditions, assets or accounts of the Member without a valid reason;
(m) make use of or reveal any confidential information obtained by reason of participating in any investigative proceeding or hearing;
(n) refuse to appear before the Exchange, the Disciplinary Committee or the Appeals Committee at a duly convened hearing or in connection with any investigation; or
(o) refuse to fully answer all questions or produce all books and records in relation to any audit, hearing or investigation.