12A.1 Depository Investigations

CDP Depository Rules

12A.1 Depository Investigations

12A.1.1 The Depository may investigate a Depository Agent:

(a) for a possible breach of the Depository Agent Terms;

(b) if the Depository receives a written complaint involving a Depository Agent, or any of its directors, officers, employees or agents; or

(c) if, in the Depository’s opinion, the circumstances warrant it.

12A.1.2 The Depository shall conduct an investigation if MAS directs it.

12A.1.3 The Depository may require a Depository Agent, or any of its directors, officers, employees or agents to:

(a) render all assistance as the Depository requires, at the Depository’s premises or elsewhere; and

(b) provide the Depository with information, books and records which, in the Depository's opinion, may be relevant to the investigation.

12A.1.4 A Depository Agent, or any of its directors, officers, employees or agents shall not wilfully make, furnish or permit the making or furnishing of any false or misleading information, statement or report to the Depository.

12A.1.5 The Depository may appoint any person or persons to assist in its investigation (the "Depository Examiner").

12A.1.6 The Depository may delegate all or any of its powers under this Rule 12A.1 to the Depository Examiner. The Depository Examiner shall report the results of the investigation to the Depository.

Added on 15 July 2026.