1978 Ed.]
Securities (Disciplinary Committee Proceedings) Rules
[CAP. 333
E 11
[Subsidiary]
You are required by the said 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 before the date of hearing, a list of all the documents on which you intend to rely.
days
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.
In order to reduce the costs of the hearing you are invited to inform the Clerk to the Disciplinary Committee not less than seven days before the date of hearing of any facts set out in the affidavit which are not in dispute.
You are requested to acknowledge the receipt of this notice without delay.
Dated this day of 19.......
Clerk to the Disciplinary Committee
* Insert name and address of respondent.
表格五
【規則第十一條〕
紀律委員會書記致答辯人之通知書
關於 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 及 關於證券條例(香港法例第三三三章)事
致:
查第三條指控 台端行爲不當。 ,地址篇. ,現根據證券(紀律委員會程序)規則第....條規定,紀律委員會現定於一九.......................年....月....日聆訊此案。聆訊將於....與行。
4TH. 台端須在上述日期、時間及地點出席。如屆時未見 台端出席,則紀律委員會可根據上述規則第十三條之規定,在台端缺席之情況下進行聆訊。
根據上述規則, 台端須在聆訊日期最少.........日之前,將擬用作證物之所有文件開列成表,送交每一其他當事人及香港證券事務監察委員會辦事處紀律委員會書記。
任何一方當事人均可查閱任何其他一方所交之文件表內所載之文件。如有一方當事人申請索取任何其他一方之文件表所開列之任何文件,則其他一方須在收到該項申請後七日內將該份文件之副本送交申請人。
減低聆訊費用起見,請於聆訊日期之前最少七日將宣誓書內任何並無論之事實通知紀律委員會書記。
本通知書送達 台端後,請即簽收。
日期:一九............... 年
* 填寫答辯人姓名及地址。
紀律委員會書記