1964_SECURITIES_(DISCIPLINARY_COMMITTEE_PROCEEDINGS)_RULES — Page 4

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CAP. 333]

Securities (Disciplinary Committee Proceedings) Rules

[1978 Ed.

[Subsidiary]

Forms of notice.

Schedule, Forms 4, 5, 6 and 7.

Inspection of documents.

Failure to appear.

Representation.

Hearings to be in camera.

Re-hearing after failure to appear.

(i) in the case of an allegation, on the respondent, or

(ii) in the case of an appeal, on the Commissioner,

a copy of the allegation and of the affidavit or of the appeal, appropriate to the case.

(2) There shall be a period of not less than 21 days between the service of any such notice and the day fixed therein for the hearing.

11. A notice under rule 10 shall be-

(a) in the case of an allegation, in Form 4 or 5 in the Schedule,

as appropriate; or

(b) in the case of an appeal, in Form 6 or 7 in the Schedule, as

appropriate,

and shall require the party to whom it is addressed to furnish to the clerk and to every other party at least 14 days before the day fixed for the hearing, unless the Committee directs otherwise, a list of all documents which are or have been in his or its possession or control and on which he or it intends to rely.

12. (1) Any party may inspect the documents included in the list furnished by any other party.

(2) A copy of any document mentioned in the list furnished by any party which is or has been in his or its possession or control shall, on application by the party requiring it, be furnished to that party by the other, within 7 days after receipt of such application.

13. If any party fails to appear at a hearing the Committee may, upon proof of service on such party of the appropriate notice of hearing, proceed to hear and determine the proceedings in his absence, and-

(a) in the case of an allegation, in the absence of the complainant; or

(b) in the case of an appeal, in the absence of the appellant, the Committee may, in its discretion, dismiss the allegation or the appeal, as the case may be, without a hearing.

14. Any party may be represented by solicitor or counsel.

15. Every hearing shall be held in camera, and the Committee shall determine which persons may be present.

16. (1) Any party who has failed to appear at a hearing may, within 1 calendar month from the pronouncement of the decision of the Committee and upon giving notice to every other party and to the clerk, apply to the Committee for a re-hearing.

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E 4 CAP. 333] Securities (Disciplinary Committee Proceedings) Rules [1978 Ed. [Subsidiary] Forms of notice. Schedule, Forms 4, 5, 6 and 7. Inspection of documents. Failure to appear. Representation. Hearings to be in camera. Re-hearing after failure to appear. (i) in the case of an allegation, on the respondent, or (ii) in the case of an appeal, on the Commissioner, a copy of the allegation and of the affidavit or of the appeal, appropriate to the case. (2) There shall be a period of not less than 21 days between the service of any such notice and the day fixed therein for the hearing. 11. A notice under rule 10 shall be- (a) in the case of an allegation, in Form 4 or 5 in the Schedule, as appropriate; or (b) in the case of an appeal, in Form 6 or 7 in the Schedule, as appropriate, and shall require the party to whom it is addressed to furnish to the clerk and to every other party at least 14 days before the day fixed for the hearing, unless the Committee directs otherwise, a list of all documents which are or have been in his or its possession or control and on which he or it intends to rely. 12. (1) Any party may inspect the documents included in the list furnished by any other party. (2) A copy of any document mentioned in the list furnished by any party which is or has been in his or its possession or control shall, on application by the party requiring it, be furnished to that party by the other, within 7 days after receipt of such application. 13. If any party fails to appear at a hearing the Committee may, upon proof of service on such party of the appropriate notice of hearing, proceed to hear and determine the proceedings in his absence, and- (a) in the case of an allegation, in the absence of the complainant; or (b) in the case of an appeal, in the absence of the appellant, the Committee may, in its discretion, dismiss the allegation or the appeal, as the case may be, without a hearing. 14. Any party may be represented by solicitor or counsel. 15. Every hearing shall be held in camera, and the Committee shall determine which persons may be present. 16. (1) Any party who has failed to appear at a hearing may, within 1 calendar month from the pronouncement of the decision of the Committee and upon giving notice to every other party and to the clerk, apply to the Committee for a re-hearing.

Baseline (Original)

E 4 CAP. 333] Securities (Disciplinary Committee Proceedings) Rules [1978 Ed. [Subsidiary] Forms of notice. Schedule, Forms 4, 5, 6 and 7. Inspection of documents. Failure to appear. Representation. Hearings to be in camera. Re-hearing after failure to appear. (i) in the case of an allegation, on the respondent, or (ii) in the case of an appeal, on the Commissioner, a copy of the allegation and of the affidavit or of the appeal, appropriate to the case. (2) There shall be a period of not less than 21 days between the service of any such notice and the day fixed therein for the hearing. 11. A notice under rule 10 shall be- (a) in the case of an allegation, in Form 4 or 5 in the Schedule, as appropriate; or (b) in the case of an appeal, in Form 6 or 7 in the Schedule, as appropriate, and shall require the party to whom it is addressed to furnish to the clerk and to every other party at least 14 days before the day fixed for the hearing, unless the Committee directs otherwise, a list of all documents which are or have been in his or its possession or control and on which he or it intends to rely. 12. (1) Any party may inspect the documents included in the list furnished by any other party. (2) A copy of any document mentioned in the list furnished by any party which is or has been in his or its possession or control shall, on application by the party requiring it, be furnished to that party by the other, within 7 days after receipt of such application. 13. If any party fails to appear at a hearing the Committee may, upon proof of service on such party of the appropriate notice of hearing, proceed to hear and determine the proceedings in his absence, and- (a) in the case of an allegation, in the absence of the com- plainant; or (b) in the case of an appeal, in the absence of the appellant, the Committee may, in its discretion, dismiss the allegation or the appeal, as the case may be, without a hearing. 14. Any party may be represented by solicitor or counsel. 15. Every hearing shall be held in camera, and the Committee shall determine which persons may be present. 16. (1) Any party who has failed to appear at a hearing may, within 1 calendar month from the pronouncement of the decision of the Committee and upon giving notice to every other party and to the clerk, apply to the Committee for a re-hearing.

2026-05-05 11:49:17 · Baseline

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