Rules in respect of Pre-hearing Procedures for Disciplinary Proceedings
1. Notice of Proceedings
(a) the rules in respect of the pre-hearing procedures and the disciplinary proceedings;
(b) a list of Disciplinary Committee members;
(c) the Summary of the Complaint (if any); and
(d) the Complaint Form and other relevant documents (if any).
2. Pre-Hearing Procedures
2.2 The Complainant may submit a Reply to the Respondent’s Case in the prescribed form before the expiration of 14 days after the service on him of the Respondent’s Case served by the Board. The Complainant’s Reply shall be limited to matters
related to the Respondent’s Case and any further documentary evidence on which the Complainant’s Reply relies may be annexed thereto.
2.3 The Respondent may submit a Reply to the Complainant’s Reply in the prescribed form before the expiration of 14 days after the service on him of the Complainant’s Reply served by the Board. The Respondent’s Reply shall be limited to matters related to the Complainant’s Reply and any further documentary evidence on which the Respondent’s Reply relies may be annexed thereto.
2.4 Unless the Disciplinary Committee orders otherwise, the complaint form, the Respondent’s Case and the parties’ Replies (including annexed documentary evidence) shall constitute submissions and evidence of the parties in the hearing.
2.5 The documents annexed to the Respondent’s Case and the parties’ Replies may include: -
(a) statements of other witnesses.
(b) documentary evidence which either party intends to adduce to support his/her case; and
2.6 If any photocopy or non-original document is adduced as documentary evidence, the Disciplinary Committee may require the party relying on the said document to provide original for inspection and verification. The Disciplinary Committee has a discretionary power on whether to accept photocopies or non-original documents as evidence.
2.7 If the submission to be made by any party to the hearing or on his behalf at the hearing shall include any argument on legal issues and/or matters of statutory interpretation, he shall furnish to the Board at least 2 working days before the date of the hearing an outline sufficiently setting out the issues and/or matters and the arguments thereon together with copies of all statutes, cases and authorities to be relied on.
2.8 If any written notice has been given by the Respondent to the Disciplinary Committee prior to the hearing that the Respondent does not intend to contest the complaint, the Disciplinary Committee may take such steps as it considers appropriate including but not limited to determining the complaint based on the documentary evidence provided by the Complainant without a hearing, dismissing the complaint, or proceeding with a hearing to hear evidence.
2.9 After the deadline for submission of the Respondent’s Case and the parties’ Replies, no further written submissions or documentary evidence shall be admitted without the consent of the presiding member of the Disciplinary Committee.
2.10 If any parties need to adjourn the fixed date of the hearing notified, such application must be made to the Disciplinary Committee in writing together with the reasons in support of adjournment and/or supporting documents. The presiding member of the Disciplinary Committee shall consider whether to allow such application, and may, where appropriate, impose conditions in allowing an adjournment of the hearing.
2.11 Subject to the Ordinance, the Disciplinary Committee may, in its discretion, on request of the parties or on their own motion, dispense with or vary any of the requirements this Part 2 hereof or make such directions for the better administration of the pre-hearing procedures as it considers appropriate.
3. Notice of Hearing
3.1 Pursuant to section 27(5) of the Ordinance, a notice of the Hearing (“Notice of Hearing”) will be served on the Complainant and the Respondent listing the date, time and place of the hearing no less than 28 days before the hearing.
4.1 Any notice or document to be served on the parties under these rules shall be deemed served:
(a) if in the case of an individual, it is—
(ii) left at his registered address or last known address;
(iii) sent by post to his registered address or last known address; or
(iv) inserted into the letter box of his registered address or last known address;
(b) in the case of a company, it is—
(ii) left at the company’s registered address or last known address;
(iii) sent by post to the company's registered address or last known address; or
(iv) inserted into the letter box of the company's registered address or last known address.
4.2 The date of service effected under sub-rule 4.1(a)(iii) or 4.1(b)(iii) shall, unless the contrary is shown, be deemed to be the fifth day after the date on which the notice or document was so posted. The date of service effected other than under sub-rule 4.1(a)(iii) and 4.1(b)(iii) shall be deemed to be the day the notice or document was so delivered, left or inserted.