1978 Ed.]
Securities (Disciplinary Committee Proceedings) Rules
[CAP. 333
E9
[Subsidiary]
表格三
[規則第六條]
根據證券條例第五十八條上訴反對證監理專員之決定之通知書
至:證券事務監察委員會。
本人....................,地址.....................
,茲根據證券條例(香港法例第三三三章)第五十八條第(1)款,向紀律委員會上訴反對證監理專員於一九...........................年4月..............日通知本人之決定(客述該項決定)。特此通知。
上訴理由如下:
(在此簡述上訴理由)
爲昭信守起見,本人於一九........................年..............................日簽署於後。
簽署........................................
專業、行業
或職業........................................
[rule 11.]
FORM 4
NOTICE OF HEARING TO COMPLAINANT
BY THE CLERK TO THE DISCIPLINARY COMMITTEE
Securities Commission.
TO: A.B., of.....................
The.....................day of.....................
IN THE MATTER of....................Ltd/the Committee of....................Exchange
IN THE MATTER of....................Exchange
Exchange Ltd
and
Ltd/C.D., a member of the Committee of....................Exchange
IN THE MATTER of the Securities Ordinance, Cap. 333.
/Commissioner for Securities/
is the day fixed by the Disciplinary
Committee constituted under the Securities Ordinance for the hearing of your allegation in the matter of....................
The Disciplinary Committee will sit at....................
at.....................o'clock in the.....................noon. Your attendance will be required at the date, time and place aforesaid.
You are required by the Securities (Disciplinary Committee Proceedings) Rules to furnish to every other party and to the Clerk to the Disciplinary Committee at the Office of the Securities Commission at....................Hong Kong at least.....................days before the date of hearing,
a list of all the documents on which you intend to rely.
Any party may inspect the documents included in the list furnished by any other, and a copy of any document mentioned in the list of any party must, on application by the party requiring it, be furnished to that party by the other within seven days after receipt of such application.
You are requested to acknowledge the receipt of this notice without delay.
Dated this.....................day of.....................19.......
Clerk to the Disciplinary Committee