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]