1978 Ed.]
Securities (Disciplinary Committee Proceedings) Rules
[CAP.333
E7
[Subsidiary]
[rule 3.]
SCHEDULE
FORM 1
ALLEGATION AGAINST A STOCK EXCHANGE/COMMITTEE OF A STOCK EXCHANGE/MEMBER OF THE COMMITTEE OF A STOCK EXCHANGE
IN THE MATTER of C.D., a Stock Exchange (or as the case may be) of
and
IN THE MATTER of the Securities Ordinance,
Cap. 333.
TO: The Securities Commission.
I, the undersigned, A.B., hereby allege that the
Stock Exchange Ltd./the Committee of the
Stock Exchange Ltd./C.D. a member of the Committee of the
Stock Exchange Ltd. has been guilty of misconduct as described in the Affidavit/Affirmation which accompanies this application and I make application that the said
may be
required to answer the said allegations and that such order be made as the Disciplinary Committee shall think right.
In witness whereof I have hereunto set my hand this
day of
19.......
Signature Address
Profession,
business or
occupation
Capacity.
表格一
[規則第三條]
指控證券交易所/證券交易所委員會/證券交易所委員會會員之申請書
關於某乙,證券交易所(或按情形而定),其地址為.
及
關於證券條例(香港法例第333章)
致:證券事務監察委員會。
本人,即下開簽署人某甲,指控,
證券交易所有限公司/
證券交易所有限公司委員會/
證券交易所有限公司委員會會員某乙犯有與本申請書一併遞交之宣誓書/確認書上所述之不當行為。本人現提出申請,要求該對該等指控作出答辯,並由紀律委員會頒佈其認為適當之命令。
為昭信守起見,本人於一九....................年............................日簽署於後。
簽署
地址.
專業、行業
或職業
身份