These by-laws set out how disciplinary complaints are handled, including dismissal at an early stage, notice and evidence rules, document admissions, adjournments, transcripts, and time extensions.
The Hong Kong Association of Banks (Disciplinary Committee Proceedings) By-laws (Cap. 364, section 6)[29 June 1984](Format changes—E.R. 3 of 2022) 1. Citation These by-laws may be cited as The Hong Kong Association of Banks (Disciplinary Committee Proceedings) By-laws. 2. Interpretation In these by-laws, unless the context otherwise requires—affidavit (誓章) includes affirmation;Clerk (書記) means a member selected for the purpose by the Disciplinary Committee or a solicitor or counsel on its behalf engaged by the Disciplinary Committee to present the case against the member in respect of which the complaint is made;Respondent (答辯人) means any member against which a complaint had been made in accordance with section 17 of the Ordinance. 3. Recommendation for dismissal of complaint without a hearing Where a complaint has been referred to the Disciplinary Committee under section 17 of the Ordinance and the Disciplinary Committee is of the opinion that the particulars of the complaint do not disclose a prima facie case for disciplinary action, the Disciplinary Committee may recommend to the Committee that the complaint be dismissed without requiring the Respondent to answer the allegations and without hearing the complaint. 4. Notice of hearing, etc. (1) Where in the opinion of the Disciplinary Committee the complaint discloses a prima facie case against the Respondent, the Disciplinary Committee shall, in accordance with the requirements of section 17 of the Ordinance, fix the date, time and place for the hearing of the complaint and the Clerk shall serve notice thereof on each party to the disciplinary proceedings together with information as to the nature of the complaint, and shall also give to the Respondent copies of all documents available to the Disciplinary Committee related to the complaint. The Respondent shall also be supplied with a set of these by-laws and its attention will be drawn to Part V of the Ordinance.(2) There shall be a period of not less than 14 days between the service of any such notice and the date fixed for the hearing as the Disciplinary Committee may direct.(3) The notice of the hearing shall inform the Respondent that if it fails to appear at the date, time and place specified the Disciplinary Committee may proceed in its absence and shall further require the Respondent to furnish to the Clerk at an address to be specified at least 7 days before the hearing copies of all documents upon which the Respondent intends to rely at the hearing. 5. Evidence by affidavit 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 however that any party to the disciplinary proceedings may require the attendance upon summons of any deponent to any such affidavit for the purpose of giving oral evidence and of being cross-examined unless the Disciplinary Committee is satisfied that the deponent is absent from Hong Kong or is for any other good and sufficient reason unable to give evidence in person at the hearing. 6. Adjournments The Disciplinary Committee may of its own motion or upon the application of any party adjourn the hearing upon such terms as the Disciplinary Committee shall think fit. 7. Shorthand notes Shorthand notes of disciplinary proceedings may be taken by a person appointed by the Disciplinary Committee and any party to the proceedings shall be entitled to a copy of the transcript. 8. Extension or abridgement of time The Disciplinary Committee shall have general power to extend or abridge the time for doing anything under these by-laws. 9. Retention of records, etc. Unless the Disciplinary Committee otherwise orders, all affidavits, books, papers, records and exhibits produced or used in connexion with any disciplinary proceedings under the Ordinance or these by-laws shall be retained by the Clerk until further order of the Disciplinary Committee. 10. Evidence at hearings At any hearing under these by-laws the Disciplinary Committee may receive such evidence as the Disciplinary Committee considers relevant to the hearing, whether it would be admissible in a court of law or not. 11. Admission of documents Any party to disciplinary proceedings may by notice in writing call upon any other party to admit any document as genuine 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. If such other party fails to give notice of non-admission within the said period it shall be deemed to have admitted the document unless otherwise ordered by the Disciplinary Committee. 12. Admission of facts The Disciplinary Committee may require a Respondent at the commencement of disciplinary proceedings or on any later stage thereof to specify which facts stated in the complaint are admitted and which facts are not admitted. 13. General power Without prejudice to these by-laws, the procedure at and conduct of disciplinary proceedings may be determined by the chairman of the Disciplinary Committee.