1964_SECURITIES_(DISCIPLINARY_COMMITTEE_PROCEEDINGS)_RULES — Page 10

E 10

CAP. 333]

Securities (Disciplinary Committee Proceedings) Rules

[1978 Ed.

[Subsidiary]

表格四

〔規則第十一條〕

紀律委員會書記致投訴人之聆訊通知書

WX......

.證券交易所有限公司/證券交易所委員會,

及

證券交易所有限公司委員會會員某乙

關於證券條例(香港法例第三三三章)事項

致:某甲,地址爲/證券監理專員/證券事務監察委員會。

根據證券條例成立之紀律委員會,現定於一九..........................................月..........................................日(星期..........................................)下午..........................................時..........................................分在..........................................舉行聆訊。台端須在上述日期、時間及地點出席。

根據證券(紀律委員會程序)規則,台端須在聆訊日期最少.....................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送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列之任何文件,則該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。

本通知書送達台端後,請即簽收。

日期:一九..........................................月..........................................日

紀律委員會書記

***

FORM 5

[rule 11.]

NOTICE TO RESPONDENT BY THE CLERK TO THE DISCIPLINARY COMMITTEE

IN THE MATTER of

Exchange Ltd/the Committee of

Securities Exchange

and

C.D., a member of the Committee of

Securities Exchange Ltd

IN THE MATTER of the Securities Ordinance,

Cap.333.

TO:

An allegation of misconduct has been made against you under rule 3 of the Securities (Disciplinary Committee Proceedings) Rules by

The day of

at

is the day fixed by the Disciplinary Committee for the hearing of the proceedings. The committee will sit at

.... o'clock in the noon. Your attendance will be required at the date, time and place aforesaid. If you fail to appear, the Disciplinary Committee may, in accordance with rule 13 of the said Rules, proceed in your absence.

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