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

August 1, 2004

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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

  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. Settlements
  5. Interrogatories
  6. Responses to Interrogatories

PART V - HEARINGS

  1. Hearing Format
  2. Notice of Hearing
  3. Notice of an Oral Hearing
  4. Notice of an Electronic Hearing
  5. Electronic Hearing
  6. Notice of a Written Hearing
  7. Written Hearing
  8. Hearings in the Absence of the Public
  9. Recording of Hearing and Transcripts
  10. Adjournments

PART VI - EVIDENCE AND WITNESSES

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

PART VII - SUMMARY DISMISSAL

  1. Summary Dismissal

PART VIII - PARTIES AND PARTICIPATION

  1. Party Status
  2. Levels of Participation
  3. Parties Acting in a Representative Capacity
  4. Withdrawal

PART IX - APPEAL FROM DECISION OR ORDER OF THE SUPERINTENDENT

  1. The Parties on an Appeal
  2. Appeal Process

PART X - COSTS

  1. Costs of Parties
  2. Criteria for Costs to Parties
  3. Costs of the Tribunal
  4. Cost Assessment Practice Directions

PART XI - REVIEW OF ORDERS

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

Appendix A

Appendix B

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