SECURITIES (INVESTIGATIONS) REGULATIONS

SECURITIES (INVESTIGATIONS) REGULATIONS

SECURTITIES (INVESTIGATIONS) REGULATION

(Cap. 333, section 146)

[12 may, 1978]

1. These regulations may be cited- as the Securit
ies (Investigations) Regulations.

2. A notice given by an inspector to a prescri ed person under
section 127(3) of the Ordinance shall be in the fo specified in the
Schedule.

3. A notice to a prescribed person unde section 127(3) of the
Ordinance may be(a) by sending it to the prescribed person registered post; j

(b) by delivering it to the prescribed pers n personally; or

(c)by leaving it with some person for c prescribed person at his
usual or last known place of sidence, employment or business.


4. (1) For the purposes of section (10) of the Ordinance a person who
attends for examination u er section 127 of the Ordinance, whether in
one or more ca es, and thereby loses remuneration or necessarily incurs
expens (other than expense on account of lodging or subsistence) to
whic he would not otherwise have been subject, is entitled to an allowa
ce not exceeding $36 for each day of attendance, in respect of tha loss
or expense.

(2) If the period during which the rson is necessarily absent from
his place of residence, employme or business to attend for examination
does not exceed 4 hour , his allowance shall not exceed $18.

SCHEDUL

SECURITIES ORDINANCE (Chapter 333 )

INVESTIGATION UNDER SECTION 127

NOTICE BY AN INSPECTOR TO A PRESECRIBED PERSON
(under section 127(3))
To:

[reg. 2.]


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

name of prescribed person

-----------------
(address)

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








WHEREAS I, the undersigned, have appointed as an inspector by the
Securities Commission under section 127 (1) of the Securities Ordinance to
investigate

..................
(state the matters to be investigated)

AND WHEREAS you are a person suspected or believed by me, on
reasonable grounds, to be capable of giving information concerning a matter to be
investigated by me:

I HEREBY GIVAE YOU NOTICE in exercise of the powers conferred on
me by section 127(3) of the Securities Ordinance requiring you-

(a) to produce to me on the day of

19 at o'clock in the

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

all documents relating to the matters with which the investigation is
concerned as are in your custody or under your control and in particulars
.........................

(b) to give to me all reasonable assistance in connexion with the
investigation; and

(c) to appear before me on the day of

19 at o'clock in the .............. at...........


for examination on oath relating to the matters with which the
investigation is concerned.


................... ................
(date) (Signed) Inspector



Note : Unless there ia a reasonable excusem failure to comply with this Notice,
knowingly furnishing to an inspector information that is false or misleading
in a material particular, or failure to take an oath required to be taken by
an inspector for the purposes of an examination, is an offence punishable
by a fine not exceeding $5,000.

Attention is drawn to sections 126 and 134 of the Securities Ordinance
a copy of which is attached.





1978 Ed.] Securities (Investigations) Regulations L.N. 96/78. Citation. Form of notice. Schedule. Giving of notice. Allowances and expenses.

L.N. 96/78. Citation. Form of notice. Schedule. Giving of notice. Allowances and expenses.

https://oelawhk.lib.hku.hk/items/show/3258

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