1964_SECURITIES_(INVESTIGATIONS)_REGULATIONS — Page 2

D2

[Subsidiary]

CAP. 333] Securities (Investigations) Regulations

[1978 Ed.

WHEREAS I, the undersigned, have been appointed as an inspector by the Securities Commission under section 127(1) of the Securities Ordinance to investigate--

(state the matters to be investigated)

AND WHEREAS you are a person suspected or believed by me, on reasonable grounds, to be capable of giving information concerning a matter to be investigated by me:

I HEREBY GIVE YOU NOTICE in exercise of the powers conferred on me by section 127(3) of the Securities Ordinance requiring you-

(a) to produce to me on the
day of
at o'clock in the
at
all documents relating to the matters with which the investigation is concerned as are in your custody or under your control and in particular-

(specify the documents)

(b) to give to me all reasonable assistance in connexion with the investigation; and

(c) to appear before me on the
day of
at o'clock in the
at
for examination on oath relating to the matters with which the investigation is concerned.

(date)

(Signed) Inspector

Note: Unless there is a reasonable excuse, failure to comply with this Notice, knowingly furnishing to an inspector information that is false or misleading in a material particular, or failure to take an oath required to be taken by an inspector for the purposes of an examination, is an offence punishable by a fine not exceeding $5,000.

Attention is drawn to sections 126 to 134 of the Securities Ordinance a copy of which is attached.