1964_SECURITIES_(DISCIPLINARY_COMMITTEE_PROCEEDINGS)_RULES — Page 7

1978 Ed.]

Securities (Disciplinary Committee Proceedings) Rules

[CAP.333

E7

[Subsidiary]

【rule 3.]

SCHEDULE

FORM 1

ALLEGATION AGAINST A STOCK EXCHANGE/ COMMITTEE OF A STOCK EXCHANGE/MEMBER OF THE COMMITTEE OF A STOCK EXCHANGE

IN THE MATTER of C.D., a Stock Exchange (or as the case may be) of

and

IN THE MATTER of the Securities Ordinance,

Cap. 333.

TO: The Securities Commission.

I, the undersigned, A.B., hereby allege that the

Stock Exchange Ltd./the Committee of the

Stock Exchange Ltd./C.D. a member of the Committee of the

Stock Exchange Ltd. has been guilty of misconduct as described in the Affidavit/Affirmation which accompanies this application and I make application that the said

may be

required to answer the said allegations and that such order be made as the Disciplinary Committee shall think right.

In witness whereof I have hereunto set my hand this

day of

19.......

Signature Address

Profession,

business or

occupation

Capacity.

表格一

[規則第三條]

指控證券交易所/證券交易所委員會/證券交易所委員會會員之申請書

關於某乙,證券交易所(或按情形 而定),其地址篇.

及

關於證券條例(香港法例第=== 章事

致:證券事務監察委員會。

本人,即下開簽署人某甲,指控,

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犯有與 本申請書一併交之宣誓書/確認書上所述之不當行爲。本人現提出申請,要求該 對該等指控作出答辯,並由紀律委員會頒佈其認

爲適當之命令。

爲昭信守起見,本人於一九........................年..........................................日簽署於後。

簽署

地址.

專業、行業

或職業

身份