12A.3.1 to charge the Depository Agent before the Disciplinary Committee if the Depository is of the opinion that the Depository Agent has committed any of the acts for which it may be charged before the Disciplinary Committee as set out in Rule 12A.5.1;

12A.3.2 to make an offer of composition to the Depository Agent if the Depository is of the opinion that there has been a violation of these CDP Rules and if the Rule violation is indicated in Schedule A as a compoundable Rule violation; or

12A.3.3 to issue a letter of warning to the Depository Agent.