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]