(a) Where the CBB considers that:
(i) It may be necessary to give a direction or take any action in relation to any trading in futures contracts under the Markets & Exchanges (MAE) Module;
person may have contravened any of the provisions of the Prohibition of Market Abuse & Manipulation (MAM) Module in relation to futures contracts.
(b) Where the CBB believes on reasonable grounds that a
person is capable of giving information concerning the following matters:
(i) Any trading in futures contracts;
(ii) Any advice given publicly or privately, or any report or analysis issued or published concerning such futures contracts by the
capital market service provider to trade in futures contracts, or a representative of such a holder;
(iii) The financial position of any business carried on by a
person who is or has been (either alone or together with any person or other persons) the capital market service provider to trade in futures contracts and has traded in or given advice or issued or published a report or an analysis concerning such futures contracts;
(iv) The financial position of any business carried on by a nominee controlled by a
person referred to in paragraph (iii) or jointly controlled by two or more persons, at least one of whom is a person referred to in that paragraph; or
(v) An audit of, or any report of an auditor concerning any book of the
capital market service provider to trade in futures contracts, being a book relating to trading, clearing or settlement in such futures contracts.
the CBB may require the
person to disclose to the CBB the information that the person has about that matter.
Amended: July 2021