1964_SECURITIES_(DISCIPLINARY_COMMITTEE_PROCEEDINGS)_RULES — Page 13

1978 Ed.]

Securities (Disciplinary Committee Proceedings) Rules

[CAP. 333

E 13

[Subsidiary]

FORM 7

[rule 11.]

NOTICE TO COMMISSIONER OF HEARING OF APPEAL

TO: The Commissioner for Securities.

Take Notice that

of

has appealed under section 58(1) of the Securities Ordinance, Cap. 333, to the Disciplinary Committee against your decision dated

19......... that

(brief details of decision appealed against).

on

at

The

day of

at

is the day fixed by the

Disciplinary Committee for the hearing of the appeal. The committee will sit 19..

a.m./p.m. 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 Securities (Disciplinary Committee Proceedings) Rules, proceed in your absence.

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 Com- mission 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.

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 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

表格七

[規則第十一條

致證券監理專員之上訴案聆訊通知書

致:證監理專員。

...

,地址篇.

現根據證券條例(香港法例第三三三章)第五十八條第(1)款向紀律委員會提出上訴, 以反對 台端於一九........................年............................日所作關於...

(簡述上訴反對之決定)之決定。

紀律委員會現定於一九........................年....................................日聆訊此宗上訴案。聆訊將於 -..... .........A BLF/T............

日上午/下午時分在

舉行。 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證券(紀律委員會程序)規則第十三條之規 定,在台端缺席之情况下進行聆訊。

根據上述規則, 台端須在聆訊日期最少......

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。