4.01A.1
The Clearing House may conduct an investigation if:—
Added on 27 March 200627 March 2006 and amended on 31 December 201331 December 2013.
4.01A.2
The Clearing House will conduct an investigation if the Authority or any Other Regulator directs.
Added on 27 March 200627 March 2006 and amended on 31 December 201331 December 2013.
4.01A.3
The Clearing House may require a Clearing Member, any of its directors, officers, employees or agents to:—
Added on 27 March 200627 March 2006.
4.01A.4
A Clearing Member, director, officer, employee or agent must not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to the Clearing House.
Added on 27 March 200627 March 2006.
4.01A.5
The Clearing House may appoint any person or persons to assist in its investigation (the "Clearing House Examiners").
Added on 27 March 200627 March 2006.
4.01A.6
The Clearing House may delegate all or any of its powers under this Rule to the Clearing House Examiner. The Clearing House Examiner must report the results of the investigation to the Clearing House.
Added on 27 March 200627 March 2006.