2023 Laws not yet authenticated through a Commencement Order

Revised Laws of Saint Lucia (2023)

Securities (Discipline) Regulations (Statutory Instrument 107/2001)

Statutory Instrument 107/2001 .. in force 20 October 2001

ARRANGEMENT OF REGULATIONS

PART 1
PRELIMINARY

1.Citation
2.Institution of disciplinary proceedings
3.Jurisdiction of Disciplinary Committee
4.Composition of Disciplinary Committee
5.Revocation of appointment of members of Disciplinary Committee
6.Convening of Disciplinary Committee
7.Secretary
8.Majority decision

PART 2
PRE HEARING MATTERS

9.Statement of case
10.Exchange of evidence
11.Directions by Disciplinary Committee

PART 3
THE DISCIPLINARY COMMITTEE HEARING

12.Notice of hearing
13.Admission of charges
14.Attendance
15.Burden and standard of proof
16.Evidence and directions
17.Conduct of hearing
18.Record of hearing
19.Penalties
20.Decision
21.Costs

Commencement [20 October 2001]