DISCIPLINARY COMMITTEE PROCEEDINGS RULES

DISCIPLINARY COMMITTEE PROCEEDINGS RULES

DISCIPLINARY COMMITTEE PROCEEDINGS RULES

ARRANGEMENT OF RULES

Rule Page
PART 1

CITATION AND INTERPRETATION

1. Citation ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... C2

2. Interpretation ... ... ... ... ... ... ... ... ... ... ... ... ... ... C2

PART 11

APPLICATIONS \G AINST SOLICITORS. SOLI(
EMPLOYEES
XXI) ARTICLED LED CLERKS

3. Applications to Society to consider complaints ... ...
... ... ... ... ... C2

4.Transmission of documents ... ... ... ... ... ... ... ... ... ... ... C 2 Further information
... ... ... ... ... ... ... ... . ... ... ... ... C 2

6. Dismissal without answer by respondent ... ...
... ... ... ... ... ... c 3

7. Parties ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... C 3

8. Notice of date of hearing ... ... ... ... ... ... ... ... . ... ... C 3

9. Forms of notice .. ... ... ... ... ... ... ... ... ... ... ... ... ... C 3 M. Inspection of
documents ... ... ... ... ... ... .. ... ... ... ... ... C 3

11. Failure to appear ... ... ... ... ... ... ... ... ... ... ... ... ... C 3

11 Representation ... ... ... ... ... ... ... ... ... ... ... ... C 3

13. Re-hearing after failure to appear ... ... ... ... ... ... C 4

14. Evidence ... ... ... ... ... ... ... .1 . ... ... ... ... . 1 . ... ... C 4

Findings and order ... ...
... ... ... ... ... ... ... ... ... ... ... C 4

16. Suspension of order pending, appeal ... ...
... ... ... ... ... ... ... C 4

17. Service ice of fibdings and order ... ... ... ... ... ... ... ... ... ... C 4

PART Ill

APPLICATIONS AT THE INSTANCE OF A SOLICITOR
HIMSELF

M Form of application ... ... ... ... ... ... ... ... ... ... ... ... ... C 4
19. Notice of hearing ... ... ... ... ... ... ... ... ... ... ... ... ... C 5
20. Notices of objections ... ... ... ... ... ... ... ... ... ... ... ... ... C 5
21. Hearing of objections ... ... . ... ... ... c 5
22. Dispensing with attendance ... ... ... ... ... ... ... ... ... ... C5
23. Application of rules in Parts 11 and IV ... ... ... ... ... ... ... ... ... c 5
24. Order on application ... ... ... ... ... ... ... ... ... ... ... ... ... C 5

PART IV







GENERAL

25. Reference to Council of Society. ... ... ... ... ... ... ... ... ... ... C 5
26. Withdrawal of proceedings ... ... ... ... ... ... ... ... ... ... ... c 5
27. Adjournments ... ... ... ... ... ... ... ... ... ... ... ... ... ... C 6
28. Order of hearing proceedings ... ... ... ... ... ... ... ... ... ... ... C 6
29. Amending and additional affidavits ... ... ... ... ... ... ... ... ... ... c 6
30. Shorthand notes ... ... ... ... ... ... ... ... ... ... ... ... ... ... C 6

31. Service .................................. ... ... ... ... ... ... C 6

;A

L

LA

32. Power of Disciplinary Committee to dispense with requirements of rules ... .. C 7
33. Extension or abridgement of time ... ... ... ... ... ... ... ... ... ... C 7 34. Retention of
documents pending appeal ... ... ... ... ... ... ... ... ... C 7 35. Evidence ... ... ... ... ... ... ... ...
... ... ... ... ... ... ... C 7 36. Admission ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... C 7 37.
Summons ... ... . ... .. . ... ... ... ... ... C7

Schedule. Forms ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... C8





DISCIPLINARY COMMITTEE PROCEEDINGS RULES
(Cap. 159, section 73)

[5 February 1970.1

PART 1

CITATION AND INTERPRETATION

1. These rules may be cited as the Disciplinary Committee
Proceedings Rules.

2. In these rules, unless the context otherwise requires

'affidavit' includes affirmation,

'clerk' means the clerk to the Disciplinary Committee or any deputy or
person appointed by the Disciplinary Committee temporarily to
perform the duties of that office;

'respondent- means any solicitor. employee of a solicitor or an articled
clerk against whom an application is made pursuant to rule 3.

PART 11

APPLICATION'S AGAINST SOLICITORS, SOLICITORS' EMPLOYEES
AND ARTICLED CLERKS

3. (1) An application to consider a complaint regarding the conduct
of a respondent shall be in writing and signed by the applicant in Form
1 in the Schedule and shall be sent to the Society together with an
affidavit by the applicant in Form 2 stating the matters of fact on which
he relies in support of his application.

(2) Where the application is made by the Society the application
may be signed and the affidavit sworn on behalf of the Society by the
Secretary or by such other person as may from time to time be
appointed by the Council.

4. The Council shall transmit to the Disciplinary Committee.
appointed pursuant to section 9(2) of the Ordinance, all documents
received by the Society pursuant to rule 3(1) or any application and
affidavit signed and sworn pursuant to rule 3(2).

5. The Disciplinary Committee may at any time require the applicant
or the Council to supply such further information and documents in his
or its possession or under his or its control relating to the application as
they think fit.





6. (1) If upon consideration of any such documents transmitted to
the Disciplinary Committee under rule 4, the Disciplinary Committee is
of the opinion that no prima facie case is shown for any disciplinary
action. the Disciplinary Committee may dismiss the application without
requiring the respondent to answer the allegations, and without hearing
the applicant.

(2) If required so to do either by the applicant, the Society or the
respondent, the Disciplinary Committee shall make a formal order
dismissing such application and the clerk shall file the order pursuant to
section 10(3) and section 12(2) of the Ordinance.

7. In the case of an application under rule 3(1), the applicant and
the respondent shall be parties, and in the case of an application under
rule 3(2), the Society and the respondent shall be parties.

8. (1) Where an application is made pursuant to rule 3 and in the
opinion of the Disciplinary Committee. a prima facie case is shown
against the respondent, the Disciplinary Committee shall fix a day for
the hearing and the clerk shall serve notice thereof on each party to the
proceedings and shall in every case serve on the respondent a copy of
the affidavit and a copy of the application.

(2) There shall be such period of not less than 21 days between
the service of any such notice and the day fixed therein for the hearing
as the Disciplinary Committee may direct.

9. A notice under rule 8 shall be in Form 3 or Form 4 in the
Schedule, as shall be appropriate, and shall require the party to whom it
is addressed to furnish to the clerk and to every other party at least 14
days before the day fixed for the hearing. unless the Disciplinary
Committee direct otherwise. a list of all documents on which he intends
to rely.

10. (1) Any party may inspect the documents included in the list
furnished by any other party.

(2) A copy of any document mentioned in the list furnished by any
party which is or has been in his possession or power shall, on
application by the party requiring it, be furnished to that party by the
other, within 7 days after the receipt of such application.

11. If any party fails to appear at the hearing, the Disciplinary
Committee may, upon proof of service on such party of the notice of
hearing, proceed to hear and determine the proceedings in his absence,
and in the absence of the applicant, the Disciplinary Committee may, in
their discretion. dismiss the application without a hearing.

12. Any party to an application or investigation may be
represented by solicitor or counsel.





13. (1) Any party who has failed to appear at the hearing may,
within one calendar month from the pronouncement of the findings and
order of the Disciplinary, Committee and upon giving notice to every
other party and to the clerk. apply to the Disciplinary Committee for a re-
hearing.

(2) The Disciplinary Committee, if satisfied that it is just that the
case should be re-heard. may grant such application upon such terms
as to costs or otherwise as they think fit.

(3) Upon such re-hearing the Disciplinary Committee may amend,
vary, add to. or reverse their findings. or order. pronounced upon such
previous hearing.

14. The Disciplinary Committee may either as to the whole case or
as to any particular fact or facts proceed and act upon evidence given
by affidavit:

Provided that any party to the proceedings may require the
attendance upon summons of any any deponent to any suck affidavit
for the purpose of giving oral evidence and of being cross-examined.
unless the Disciplinary Committee are satisfied that the deponent is
absent from the Colony or is for any other good and sufficient reason
unable to give evidence in person at the hearing.

15. The clerk shall 'give notice to the parties of the date when the
findings and order will be pronounced.

16. The clerk shall on the day of pronouncement file the order
pursuant to section 10(3) and section 12(2) of the Ordinance:

Provided that the Disciplinary Committee may suspend the filing of
the order pursuant to the said sections during the time limited for appeal
under section 13 of the Ordinance and. if notice of motion of appeal is
duly filed. then until determination or abandonment of such appeal.

17. Within 4 days of the date when hen the findings and order
shall have been pronounced. the clerk shall send a copy, thereof to
each party.

PART 111

APPLICATIONS A T THI INSTANCE 1 OF A SOLICITOR HIMSELF

18. (1) An application by. a solicitor to procure his name to be
removed from the roll shall be made by A ay of affidavit in Form 5 in the
Schedule.

(2) An affidavit made under paragraph 1) shall be sent to the
Council who shall thereupon appoint a Disciplinary Committee under
section 10(4) of the Ordinance and forward such affidavit it to the clerk.





19. (1) The Disciplinary Committee shall fix a day for the hearing
and the clerk shall serve notice thereof on the applicant and the Society
at least 2 1 days before the day, fixed for the hearing.

(2) The Disciplinary Committee may require the applicant to give
notice of his application and of the day fixed for the hearing by
advertisement or otherwise. as they may direct.

20. If any person desires to object to the application. he shall give
notice in writing to the applicant. the Society and the clerk at least 7
days before the day fixed for the hearing. specifying the grounds of his
objection.

21. If the objector appears on the day fixed for the hearing. and if
the Disciplinary Committee are of opinion. after hearing the parties or
either of them. that the notice of objection discloses a

case for inquiry they may dispose of the same forthwith or
they may adjourn the hearing and may. give directions relating to the
adjourned hearing. including directions as to the party on whom horn the
burden of proof shall lie.

22. If no objection is made to the application. the Disciplinary,
Committee may decide the same without requiring the attendance of the
applicant.

23. The rules contained in Parts II and IV shall apply mutatis
mutandis to tile hearing of any application under this Part.

24. In respect of any application by. a solicitor to procure his name
to be removed from the roll. the Disciplinary, Committee shall order
either that the name of the solicitor be removed from the roll. or that the
application be refused. and may make such order as to costs as they
think fit.

PART IV

GENERAL

25. The Disciplinary Committee may, at any stage of proceedings
against a respondent refer the case or any aspect thereof to the Council
and may adjourn the proceedings pending the consideration thereof by
the Council so that the Council may if it so decides. take such further
proceedings under rule 3 against the respondent or undertake on behalf
of the original applicant the prosecution of his application.

26. Unless the Disciplinary Committee direct otherwise. no
proceedings shall be withdrawn after they. have been transmitted to the
Disciplinary Committee pursuant to rule 4.





27. The Disciplinary Committee may of their own motion, or upon
the application of any party, adjourn the hearing upon such terms as to
costs, or otherwise, as the Disciplinary Committee shall think fit.

28. In the case of an application in respect of an employee of a
solicitor or an articled clerk, the Disciplinary Committee may on the
application of any party or on their own motion order that any such
application shall be heard prior to, in the course of, concurrently with or
subsequent to the hearing of any proceedings under these rules against
a solicitor, by whom the clerk is or was employed, or to whom the clerk
is or was articled.

29. (1) If upon the hearing it shall appear to the Disciplinary
Committee that the allegations in an affidavit require to be amended. or
added to, the Disciplinary Committee may permit the affidavit to be
amended, or added to. in which case such affidavit shall be resworn.

(2) If in the opinion of the Disciplinary Committee. such amendment
or addition is not within the scope of the affidavit, the Disciplinary
Committee may require the same to be embodied in a further affidavit.

30. (1) Shorthand notes of proceedings may be taken by a person
appointed by the Disciplinary Committee; and any party to the
proceeding shall be entitled to inspect the transcript thereof.

(2) The shorthand writer shall, if required, supply to the
Disciplinary Committee and to any person entitled to be heard upon an
appeal against an order of the Disciplinary Committee. and to the
Council, but to no other person. a copy of the transcript of such notes
on payment of his charges.

(3) If no shorthand notes be taken, the Chairman of the Disciplinary
Committee shall take a note of the proceedings, and the provisions of
this rule as to inspection and taking of copies shall apply to such note
accordingly.

31. (1) Service of any notice or document under these rules may be
effected personally or by registered 'A.R.' letter addressed, in the case
of a solicitor, to his place of business or to his place of abode (if known)
and, in every other case, to the last known place of business or abode of
the person to be served, and such service shall be deemed to be effected
at the time when the letter would be delivered in the ordinary course of
post.

(2) Notwithstanding the provisions of paragraph (1) the
Disciplinary Committee may make such order for substituted service as
in the circumstances of the case may appear to be just

Just.





32. The Disciplinary Committee may dispense with any require-
ments of these rules respecting notices. affidavits, documents,
service, or time, in any case where it appears to the Disciplinary
Committee to be just so to do.

33. The Disciplinary Committee may extend or abridge the
time for doing anything under these rules.

34. Unless the Disciplinary Committee otherwise order, all
affidavits, books, papers, records and exhibits produced, used or
made in connexion with any proceedings under these rules shall be
retained by the Disciplinary Committee or the clerk until the time
within which an appeal may be entered has expired. and. if notice of
appeal is given (subject to the requirement of such appeal) until the
appeal is heard or otherwise disposed of and thereafter shall be
deposited for safe keeping with the Secretary who shall hold the
same on behalf of members of the Disciplinary Committee Panel
who alone shall have access thereto.

35. The Evidence Ordinance shall apply in relation to proceed-
ings before the Disciplinary Committee in the same manner as it
applies in relation to civil and criminal proceedings.

36. (1) Any party may by notice in writing at any time not
later than 9 days before the day fixed for the hearing calf upon any
other to admit any document saving all just exceptions and if such
other party desires to challenge the authenticity of the document he
shall within 6 days after service of such notice give notice that he
does not admit the document and requires it to be proved at the
hearing.

(2) If such other party refuses or neglects to give notice of
non-admission within the time prescribed in paragraph (1). he shall
be deemed to have admitted the document unless otherwise ordered
by the Disciplinary Committee.

(3) Where a party gives notice of non-admission within the
time prescribed by paragraph (1) and the document is proved at the
hearing, the costs of proving the document shall be paid by the party
who has not admitted the document, whatever the order of the
Disciplinary Committee may be, unless in their findings the Dis-
ciplinary Committee shall find that there were reasonable grounds
for not admitting the document.

(4) Where a party proves document without having given
notice to admit under paragraph (1) no costs of proving the
document shall be allowed, unless otherwise directed by the Dis-
ciplinary Committee, except where the omission to give notice to
admit is in the opinion of the Disciplinary Committee a saving of
expenses.

37. A summons issued under section 11 of the Ordinance shall
be in Form 6 or Form 7 in the Schedule as shall be appropriate.





SCHEDULE

FORM 1 [rule 3.]

FORM OF APPLICATION AGAINST A SOLICITOR AN EMPLOYEE
OF A SOLICITOR AN ARTICLED CLERK

IN THE MATTER of C.D.. a Solicitor

(or as the case may, be) of
....................................

and

IN THE MATTER of the Legal Practitioners
Ordinance.

TO: The Law Society. of Hone Kong.

1. the undersigned. A.B.. hereby, make application that C.D.. of

.: .....................................................
..........................................................................

Solicitor (or as the case may be). may be required to answer the allegations
contained in the Affidavit it Affirmation m which accompanies this application
and that such order may be made as the Disciplinary Committee shall think right.

In witness whereof 1 have hereunto set my hand this
....................................

day of ..........19

..Signature .......

Address
.......................................

.........

Profession.
business or

occupation ..................
.................

FORM 2 [rule 3]

FORM OF AFFIDAVIT AFFIRMATION BY APPLICANT

IN THE MATTER of C.D.. a Solicitor an
Employee of a Solicitor an Articled Clerk

of
..........................................................
...............

and IN THE MATTER ol'
the Legal Practitioners Ordinance.

................................. of

make oath do solemnly sincerely and truly affirm and say as follows
(Here state the facts concisely
in numbered paragraphs, and






show deponent's means of know
ledge

Sworn. affirmed. etc.

Insert





FORM 3 [rule 9.]

FORM OF NOTICE OF HEARING TO APPLICANT/SOCIETY
BY THE CLERK TO THE DISCIPLINARY COMMITTEE

IN THE MATTER of C.D., a Solicitor/an
Employee of a Solicitor/an Articled Clerk of
.........................................................................
and

IN THE MATTER of the Legal Practitioners
Ordinance.

TO: A.B., of /Council

.The ..day of ......................is the

day fixed by the Disciplinary Committee constituted under the Legal Practitioners
Ordinance for the hearing of your application in the matter of C.D.

The Disciplinary Committee will sit at
................................................................

at ...................................o'clock in the noon. Your attendance will

be required at the date, time and place aforesaid.

You are required by the Disciplinary Committee Proceedings Rules to furnish
to every other party and to the Clerk to the Disciplinary Committee at the
Registered Office of The Law Society of Hong Kong at least
...................................................... days before the date of hearing, a list of all the
documents on which you propose to rely.

Any party may inspect the documents included in the list furnished by any
other, and a copy of any document mentioned in the list of any party must on
application by the party requiring it be furnished to that party by the other within
7 days after receipt of such application.

You are requested to acknowledge the receipt of this notice without delay.

Dated this .........day of 19

.....................

Clerk to the Disciplinary Committee.

for your information and guidance).

FORM 4 [rule 9.1

FORM OF NOTICE TO RESPONDENT BY THE CLERK
TO THE DISCIPLINARY COMMITTEE

IN THE MATTER of C.D.. a Solicitorlan
Employee of a Solicitort'an Articled Clerk

of
......................................................

and

IN THE MATTER of the Legal Practitioners
Ordinance.







TO: ....................................................................

Proceedings have been instituted against you under rule 3 of the Disciplinary
Committee Proceedings Rules by
...............................................................................

.....................................

of
................................................................................................................................





The ...day of ..................is the day

fixed by the Disciplinary Committee for the hearing of the proceedings. The

committee will sit at ............
at ......O' clock in the noon. Your attendance will

he required at the date. time and place aforesaid. If you fail to appear, the
Disciplinary Committee may, in accordance with rule 11 of the said Rules, proceed
in
your absence.

You are required by the said Rules to furnish to every other party and to the
Clerk to the Disciplinary Committee at the Registered Office of The Law Society
of

Hong Kong at least ................... days bfore the date of hearing, a list of all the

documents on which you propose to rely.

Any party may inspect the documents included in the list furnished by any
other, and a copy of any document mentioned in the list of any party must, on
application by the party requiring it, be furnished to that party by the other within
7 days after receipt of such application.

In order to reduce the costs of the hearing you are invited to inform the Clerk
to the Disciplinary Committee not less than 7 days before the date of bearing of
any facts set out in the affidavit which are not in dispute.

You are requested to acknowledge the receipt of this notice without delay.

Dated this ......................day of 19

.......................................................
......................

Clerk to the Disciplinary v Committee.

for your information and guidance).

Insert name and address of respondent

FORM 5 [rule 18.1

FORM OF AFFIDAVIT AFFIRMATION BY APPLICANT
UNDER RULE 18

IN THE MATTER of C.D., a Solicitor and

IN THE MATTER of the Legal Practitioners
Ordinance.

1. C.D., of
........................................................................................

make oath/do solemnly sincerely and truly affirm/and say as follows-

1 ..............................1 was admitted a solicitor on the day of

.......... ..1

2.1 desire that my name may be removed from the Roll of Solicitors for the
following reasons







(Here state the reasons)

3.1 am not aware of. and do not know of any cause for, any application to
the Court or to the Disciplinary Committee that m) name may be struck
off the Roll of Solicitors, or that I should answer any proceedings under
rule 3 of the Disciplinary Committee Proceedings Rules. 1 do not make
this application for the purpose of defeating or delaying any claim upon
me as a solicitor.

Sworn. etc.





FORM 6 [rule 37.1

FORM OF SUMMONS AD TESTIFICANDUM

IN THE MATTER of C.D.. a Solicitor an
Employee of a Solicitor/an Articled Clerk

of ...................
.......................

and
IN THE MATTER of the Legal Practitioners
Ordinance.

TO: .......................................
.....................................................

I command you to attend before the Disciplinary Committee at ....
...................

.................................................... ....................
on .........day. the

day of ............................................. at the hour
of

in the .......noon, and so from day to day until the application

in the above matter is heard, to give evidence on behalf of
........................................

........... 1

......... ........... Chairman of the
Disciplinary

Committee constituted under section 9(2) and (3) of the Legal Practitioners

Ordinance, the ....................day of 19

FORM 7 [rule 37.1

FORM OF SUMMONS DUCES TECUM

IN THE MATTER of C.D.. a Solicitor/an
Employee of a Solicitor/an Articled Clerk of
........................................................
................. and

IN THE MATTER of the Legal Practitioners
Ordinance.

TO:
..............................................................................................
....................

I command you to attend before the Disciplinary Committee at 1

......... ........1 .on day, the
day o ................ at the hour of

in the ......noon, and so from day to day until the application in

the above matter is heard, to give evidence on behalf of
............................................







.............1 and also to bring with you

and produce at the time and place aforesaid (specify documents to be produced).

.... . ... ....... . Chairman of the
Disciplinary

Committee constituted under section 9(2) and (3) of the Legal Practitioners

Ordinance,..the.............................. day of
.................................................. 19
L.N. 22/70. 52 of 1980. L.N. 42/81. Citation. Interpretation. L.N. 42/81. L.N. 42/81. Applications to Society to consider complaints. Schedule, Form 1. Schedule, Form 2. 52 of 1980, s. 2. Transmission of documents. 52 of 1980, s. 2. Further information. 52 of 1980, s. 2. Dismissal without answer by respondent. Parties. Notice of date of hearing. Forms of notice. Schedule, Forms 3 & 4. Inspection of documents. Failure to appear. Representation. Re-hearing after failure to appear. Evidence. Findings and order. Suspension of order pending appeal. Service of findings and order. Form of application. Schedule, Form 5. 52 of 1980, s. 2. Notice of hearing. Notices of objections. Hearing of objections. Dispensing with attendance. Application of rules in Parts II and IV. Order and application. Reference to Council of Society. 52 of 1980, s. 2. Withdrawal of proceedings. Adjournments. Order of hearing proceedings. Amending and additional affidavits. Shorthand notes. 52 of 1980, s. 2. Service. Power of Disciplinary Committee to dispense with requirements of rules. Extension or abridgement of time. Retention of documents pending appeal. Evidence. (Cap. 8.) Admission. Summons. Schedule, Forms 6 and 7. L.N. 42/81. L.N. 42/81. L.N. 42/81. 52 of 1980, s. 2. L.N. 42/81. L.N. 42/81. L.N. 42/81.

L.N. 22/70. 52 of 1980. L.N. 42/81. Citation. Interpretation. L.N. 42/81. L.N. 42/81. Applications to Society to consider complaints. Schedule, Form 1. Schedule, Form 2. 52 of 1980, s. 2. Transmission of documents. 52 of 1980, s. 2. Further information. 52 of 1980, s. 2. Dismissal without answer by respondent. Parties. Notice of date of hearing. Forms of notice. Schedule, Forms 3 & 4. Inspection of documents. Failure to appear. Representation. Re-hearing after failure to appear. Evidence. Findings and order. Suspension of order pending appeal. Service of findings and order. Form of application. Schedule, Form 5. 52 of 1980, s. 2. Notice of hearing. Notices of objections. Hearing of objections. Dispensing with attendance. Application of rules in Parts II and IV. Order and application. Reference to Council of Society. 52 of 1980, s. 2. Withdrawal of proceedings. Adjournments. Order of hearing proceedings. Amending and additional affidavits. Shorthand notes. 52 of 1980, s. 2. Service. Power of Disciplinary Committee to dispense with requirements of rules. Extension or abridgement of time. Retention of documents pending appeal. Evidence. (Cap. 8.) Admission. Summons. Schedule, Forms 6 and 7. L.N. 42/81. L.N. 42/81. L.N. 42/81. 52 of 1980, s. 2. L.N. 42/81. L.N. 42/81. L.N. 42/81.

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