11.1.1
CDP may conduct an investigation if:—
(1) the investigation involves a possible breach of the SFA, the Clearing Rules or any Clearing Directives;
(2) CDP receives a written complaint involving a Clearing Member, director, officer, employee or agent;
(3) there is a dispute between Clearing Members on a clearing and settlement matter; or
(4) in CDP's opinion, the circumstances warrant it.
Amended on 3 June 20193 June 2019.
11.1.3
CDP may require a Clearing Member, any of its directors, officers, employees or agents to:—
(1) render all assistance as CDP requires, at CDP's premises or elsewhere; and
(2) provide CDP with information, books and records which, in CDP's opinion, may be relevant to the investigation.
11.1.4
A Clearing Member, directors, officer, employee or agent shall not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to CDP.