Rules of Practice and Procedure for Proceedings before the Financial Services Tribunal

October 31, 2020

 

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Table of Contents

 

PART I - GENERAL

 

1. Application and Interpretation of Rules
2. General Authority of the Tribunal
3. Definitions
4. Calculation of Time
5. Extending or Abridging Time
6. French Language Services
7. Notice of Constitutional Question

PART II - FILING AND SERVICE OF DOCUMENTS

 

8. Filing Documents
9. Service
10. Public Record
11. Confidential Documents

PART III - ORDERS

 

12. Orders
13. Procedural Orders
14. Motions

PART IV - PRE-HEARING PROCEDURES

 

15. Commencement of Proceedings
16. Pre-Hearing Conference
17. Notice of Pre-Hearing Conference
18. Interrogatories
19. Responses to Interrogatories

PART V - HEARINGS

 

20. Hearing
21. Notice of Hearing
22. Change in Hearing Format
23. Hearings in the Absence of the Public
24. Recording of Hearing and Transcripts
25. Adjournments

PART VI - EVIDENCE, WITNESSES AND SUBMISSIONS

 

26. Disclosure, Production and Filing of Documents
27. Disclosure of Allegations of Misconduct
28. Written Evidence
29. Reports of Experts
30. Witnesses
31. Summons to Witness
32. Submissions

PART VII - SUMMARY DISMISSAL

 

33. Dismissal Without a Hearing
34. Dismissal for Delay
35. Non-Attendance by a Party who has Initiated a Proceeding
36. Motion for Summary Dismissal

PART VIII - PARTIES AND PARTICIPATION

 

37. Party Status
38. Levels of Participation
39. Withdrawal

PART IX - APPEALS FROM DECISIONS OR ORDERS

 

40. Appeal Process

PART X - COSTS

 

41. Costs of Parties
42. Criteria for Costs of Parties
43. Costs of the Tribunal

PART XI - REVIEW OF DECISIONS AND ORDERS

 

44. Initiating Review
45. Procedure for Requesting Review
46. Decision on Request for Review
47. Procedure for Review

Appendix A

 

• Forms

Appendix B

 

• Participation Fees for Witnesses

 

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