(1) This Chapter sets out:

(a) the purpose of the Disciplinary Committee and Appeals Committee;

(b) the administrative and enforcement powers of the Exchange;

(c) the process for disciplinary proceedings and appeals proceedings; and

(d) the powers of the Disciplinary Committee and Appeals Committee.

(2) For the purposes of this Chapter, the following terms, unless the context requires otherwise, have the following meanings:

For the purposes of this Chapter, a Relevant Person is deemed to have contravened a Relevant Rule when a Relevant Person has:

(1) committed an act in breach of a Relevant Rule;

(2) omitted to do an act which resulted in a breach of a Relevant Rule;

(3) failed to comply with a requirement imposed by the Exchange;

(4) failed to comply with a requirement imposed or an order issued by the Disciplinary Committee or Appeals Committee;

(5) caused another Relevant Person to commit an act in breach of a Relevant Rule;

(6) caused another Relevant Person to omit to do an act which resulted in a breach of a Relevant Rule;

(7) caused another Relevant Person to fail to comply with a requirement imposed by the Exchange; or

(8) caused another Relevant Person to fail to comply with a requirement imposed or order issued by the Disciplinary Committee or the Appeals Committee.