Past version: Effective up to 14 Sep 2017
| 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 10 — Liabilities of CDP | ||||||
| 10.2 | Force Majeure | |||||
| 10.2.3 | Clearing Member to notify CDP and any other relevant party upon the occurrence of any event of Force Majeure | Not Compoundable | Not Compoundable | $10,000 | ||
| 10.6 | Indemnity to CDP | |||||
| 10.6.2 | Clearing Member to reimburse CDP for the specified payments | Compoundable | $2,000 – $4,000 | $4,000 – $7,000 | $7,000 – $10,000 | N.A. |
| Clearing Member to render cooperation to CDP in respect of any legal, arbitration or other regulatory proceedings. | Not Compoundable | Not Compoundable | $10,000 | |||
Added on 16 May 201116 May 2011.