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(3) The interested division shall present the offer of settlement to the Commission with its recommendation， except that， if the division''s recommendation is unfavorable， the offer shall not be presented to the Commission unless the person making the offer so requests.
(4) By submitting an offer of settlement， the person making the offer waives， subject to acceptance of the offer：
(i) all hearings pursuant to the statutory provisions under which the proceeding is to be or has been instituted;
(ii) the filing of proposed findings of fact and conclusions of law;
(iii) proceedings before， and an initial decision by， a hearing officer;
(iv) all post-hearing procedures; and
(v) judicial review by any court.
(5) By submitting an offer of settlement the person further waives：
(i) such provisions of the Rules of Practice or other requirements of law as may be construed to prevent any member of the Commission''s staff from participating in the preparation of， or advising the Commission as to， any order， opinion， finding of fact， or conclusion of law to be entered pursuant to the offer; and
(ii) any right to claim bias or prejudgment by the Commission based on the consideration of or discussions concerning settlement of all or any part of the proceeding.
(6) If the Commission rejects the offer of settlement， the person making the offer shall be notified of the Commission''s action and the offer of settlement shall be deemed withdrawn. The rejected offer shall not constitute a part of the record in any proceeding against the person making the offer， provided， however， that rejection of an offer of settlement does not affect the continued validity of waivers pursuant to paragraph (c)(5) of this rule with respect to any discussions concerning the rejected offer of settlement.
(7) Final acceptance of any offer of settlement will occur only upon the issuance of findings and an order by the Commission.
二、香港地区证券及期货条例
2003年4月1日生效
Section 201 General provisions relating to exercise of powers under Part IX
(1) In reaching a decision under section 194(1) or (2)， 195(1)， (2) or (7)， 196(1) or (2) or 197(1) or (2)， the Commission may have regard to any information or material in its possession which is relevant to the decision， regardless of how the information or material has come into its possession.
(2) The revocation or suspension of any licence or registration under this Part does not operate so as to-
(a) avoid or affect an agreement， transaction or arrangement entered into by the licensed person or registered institution (as the case may be) whether the agreement， transaction or arrangement was entered into before or after the revocation or suspension;
(b) affect a right， obligation or liability arising under the agreement， transaction or arrangement.
(3) Where at any time the Commission is contemplating exercising any power in respect of a person under section 194(1) or (2)， 195(1)(a)， (b) or (c)， (2) or (7)， 196(1) or (2) or 197(1)(a) or (b) or (2)， it may， where it considers it appropriate to do so in the interest of the investing public or in the public interest， by agreement with the person-
(a) exercise any power the Commission may exercise in respect of the person under this Part (whether or not the same as the power the exercise of which has been contemplated); and
(b) take such additional action as it considers appropriate in the circumstances of the case.
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