1978 Ed.]
Securities (Disciplinary Committee Proceedings) Rules
[CAP. 333
E 3
[Subsidiary]
the Chairman or the secretary of the Commission or by such other person as may from time to time be appointed by the Commission.
4. The Commission shall transmit to the Committee all documents received by the Commission pursuant to rule 3(1) or any allegation and affidavit signed and sworn pursuant to rule 3(2).
5. If upon consideration of any such documents transmitted to it under rule 4, the Committee is of the opinion that no prima facie case is shown for any disciplinary action, the Committee may dismiss the allegation without requiring the respondent to answer the allegation and without hearing the complainant.
PART III
APPEALS
6. An appeal shall be in writing and signed by or on behalf of the appellant in Form 3 in the Schedule stating the grounds of the appeal and shall be sent to the Commission.
Transmission of documents.
Dismissal by respondent.
without answer
Appeal to be in writing. Schedule, Form 3.
7. The Commission shall transmit to the Committee all documents received by the Commission pursuant to rule 6.
Transmission of documents.
PART IV
GENERAL
8. (1) In the case of an allegation made pursuant to rule 3, the complainant and the respondent shall be parties.
(2) In the case of an appeal made pursuant to rule 6, the appellant and the Commissioner shall be parties.
information.
9. The Committee may at any time require any party to supply such further information and documents in his or its possession or under his or its control relating to an allegation or an appeal, as the case may be, as the Committee thinks fit.
10. (1) Where-
(a) an allegation is made pursuant to rule 3 and in the opinion of the Committee a prima facie case is shown against the respondent; or
(b) an appeal is made pursuant to rule 6,
the Committee shall fix a day for the hearing and the clerk shall serve notice thereof on each party to the proceedings and shall serve-
Notice of date of hearing.