Versions

 

4.01A.1

The Clearing House may conduct an investigation if:—

4.01A.1.1 the investigation involves a possible breach of the SFA, SFR, this Rulesand/or any applicable laws;
4.01A.1.2 the Clearing House receives a written complaint involving a Clearing Member, director, officer, employee or agent;
4.01A.1.3 there is a dispute between Clearing Members on a clearing or settlement matter; or
4.01A.1.4 in the Clearing House's opinion, the circumstances warrant.

Added on 27 March 200627 March 2006 and amended on 31 December 201331 December 2013.