Versions

 

4.12.2

For the avoidance of doubt, it shall be a major offence for a Clearing Member to:—

4.12.2.1 make, or cause to be made, a false or misleading entry, in hardcopy or electronic form, in any books, records, reports, slips, documents, or statements relating to the business, affairs, transactions, conditions, assets or accounts ("the Documents") of a Clearing Member;
4.12.2.2 omit from making, for whatever reason, a material entry in any of the Documents; or
4.12.2.3 alter or destroy any of the Documents without a valid reason.

Without prejudice to the foregoing, it may, at the determination of the Clearing House, be a major offence if a Clearing Member commits an offence or violation as a member of any Relevant Market.

Amended on 27 March 200627 March 2006.