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

May 1, 2018

 

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Table of Contents

 

PART I - GENERAL

 

PART II - FILING AND SERVICE OF DOCUMENTS

 

  1. Filing Documents
  2. Service
  3. Public Record
  4. Confidential Documents

PART III - ORDERS

 

  1. Orders
  2. Procedural Orders
  3. Motions

PART IV - PRE-HEARING PROCEDURES

 

  1. Commencement of Proceedings
  2. Pre-Hearing Conference
  3. Notice of Pre-Hearing Conference
  4. Interrogatories
  5. Responses to Interrogatories

PART V - HEARINGS

 

  1. Hearing
  2. Notice of Hearing
  3. Change in Hearing Format
  4. Hearings in the Absence of the Public
  5. Recording of Hearing and Transcripts
  6. Adjournments

PART VI - EVIDENCE, WITNESSES AND SUBMISSIONS

 

  1. Disclosure, Production and Filing of Documents
  2. Disclosure of Allegations of Misconduct
  3. Written Evidence
  4. Reports of Experts
  5. Witnesses
  6. Summons to Witness
  7. Submissions

PART VII - SUMMARY DISMISSAL

 

  1. Dismissal Without a Hearing
  2. Dismissal for Delay
  3. Non-Attendance by a Party who has Initiated a Proceeding
  4. Motion for Summary Dismissal

PART VIII - PARTIES AND PARTICIPATION

 

  1. Party Status
  2. Levels of Participation
  3. Withdrawal

PART IX - APPEALS FROM DECISIONS OR ORDERS

 

  1. Appeal Process

PART X - COSTS

 

  1. Costs of Parties
  2. Criteria for Costs of Parties
  3. Costs of the Tribunal

PART XI - REVIEW OF DECISIONS AND ORDERS

 

  1. Initiating Review
  2. Procedure for Requesting Review
  3. Decision on Request for Review
  4. Procedure for Review

Appendix A

 

  • Forms

Appendix B

 

  • Participation Fees for Witnesses

 

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