3.5 Investigation of Complaints

3.5.1           The Exchange shall consider all genuine and non-frivolous complaints made to it in writing save that if it considers that it would be appropriate to do so, it may refer the matter to another regulatory body pursuant to Rule 1 (General Rules) and/or seek professional advice and consultation on the investigation process, response and/or decision and ruling.

 

3.5.2           In the case of a complaint which, if substantiated, might constitute a breach of the Exchange’s Rules, the Exchange may (subject to its power to refer the matter complained of pursuant to Rule 1) authorize an immediate investigation or write to the Member or other person complained of (and any Member with whom such person was associated at the time of the matter complained of) requesting its or his comments or explanation or take such other or further steps (if any) as may be thought appropriate including the  commencement of an investigation or disciplinary proceedings.

 

3.5.3           The Exchange may inform the complainant in writing of any steps taken as a result of his complaint and of the result thereof.

 

In the event of a complaint against the Exchange or any of its officers or employees (or agents in their capacity as such), such complaint shall be made and investigated in accordance with the Dispute Resolution Rule 8.

 

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