Regulatory Framework and Rules Print Friendly 
Rules and Guidelines
Discipinary Procedures

Updated: 20 June 2008

DISCIPLINARY PROCEDURES


Contents
INTRODUCTION

PART I
RESPONSIBILITIES, POWERS AND FUNCTIONS OF COMMITTEES, DIVISIONS, DEPARTMENTS AND SEOCH CONCERNING DISCIPLINARY MATTERS
1. Disciplinary Section
2. Regulation Division
3. Other Divisions and Departments
4. Disciplinary Committee
5. Disciplinary Appeals Committee
6. The Chief Executive
7. The SEHK Options Clearing House Limited

PART II
DISCIPLINARY PROCEDURES
1. Offences to be Dealt with under the Standard Penalty Procedures and Offences to be Dealt with by Hearings
2. Standard Penalty Procedures
3. Procedures for Offences to be Dealt with by Hearings
4. Disciplinary Proceedings before the Disciplinary Committee
5. Disciplinary Proceedings before the Disciplinary Appeals Committee
6. Legal Representation and Costs
7. Publicity
SCHEDULE OF PENALTIES