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Rule 11 — Supervisory Rules

Rule Violation Whether composition may be offered Composition Amount which may be Offered by CDP, where CDP has Determined the Clearing Member to be Liable Mandatory minimum penalty imposable by the DC
Rule Chapter/Number Brief Description of Rule 1st Violation 2nd Violation 3rd Violation
Rule 11 — Supervisory Rules
11.1 Clearing House Investigations
11.1.3 Clearing Member to cooperate with investigations conducted by CDP Not Compoundable Not Compoundable $10,000
11.1.4 Clearing Member, director, officer, employee or agent not to wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to CDP Not Compoundable Not Compoundable $10,000
11.2 Clearing House Inspections
11.2.3 Clearing Member to give Clearing House Inspector access to all information, books and records as requested Not Compoundable Not Compoundable $10,000
11.2.5 Clearing Member to immediately pay fees for inspection by CDP Compoundable $500 $1,000 $2,000 N.A.
11.6 Disiplinary Committee Proceedings
11.6.4 Evidence
11.6.4(3) Clearing Member not to breach its undertaking not to disclose information received from CDP in relation to the charge to any person, except to the legal representative of the person charged for the purposes of the hearing Not Compoundable Not Compoundable $10,000
11.9 Appeal Proceedings
11.9.5(2) Clearing Member not to breach its undertaking not to disclose information received from CDP in relation to the charge to any person, except to the legal representative of the person charged for the purposes of any appeal Not Compoundable Not Compoundable $10,000

Added on 16 May 201116 May 2011.