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Rules of Procedure

The Financial and Consumer Services Tribunal adopted new Rules of Procedure on January 23, 2018. A proceeding commenced under the Tribunal's previous procedural rules, Local Rule 15-501 Proceedings before the Tribunal, is continued under the new Rules of Procedure.


The Tribunal's Rules of Procedure set out the procedure by which parties present their evidence and arguments to the Tribunal. The Rules of Procedure reference forms, the use of which is mandatory. The Registrar may also issue practice directions to provide additional guidance on certain procedural requirements.


View all Rules of Procedure


Below is the Table of Contents for the Rules of Procedure with hyperlinks to each part.


PART 1 - GENERAL

1.1 Definitions
1.2Application and interpretation of Rules
1.3General powers of the Tribunal
1.4Non-compliance with Rules or Order
1.5Time
1.6Communications with the Tribunal
1.7Official languages
1.8Interpreters, Accessibility Requirements, Culture, Tradition or Religion
1.9Challenging constitutionality or asserting a remedy under the Charter of Rights and Freedoms
1.10Challenging the Tribunal's jurisdiction
1.11Adjournments

PART 2 - STARTING A PROCEEDING, FILING AND SERVING DOCUMENTS

2.1 Starting a proceeding
2.2Filing documents
2.3Service of documents
2.4Personal service
2.5Motion for substituted, validated or waived service
2.6Service deemed effective
2.7Affidavit of Service

PART 3 - PRIVACY, CLOSED HEARINGS AND CONFIDENTIALITY REQUESTS
3.1 Transparency and privacy
3.2Public record
3.3Request for confidentiality
3.4Hearings in the absence of the public and media

PART 4 - PARTIES, INTERVENORS AND PARTICIPATION
4.1 Parties and representation
4.2Obtaining the status of party, intervenor or friend of the Tribunal
4.3Ending participation in a proceeding

PART 5 - APPEAL FROM DECISIONS OR ORDERS

5.1 Starting an appeal
5.2Service of Notice of Appeal and setting the hearing date
5.3Record of the Decision-Making Process
5.4Evidence
5.5Authority to consider other issues
5.6Witnesses
5.7Statement of Position
5.8Hearing

PART 6 - REVIEW OF DECISIONS OR ORDERS

6.1 Starting a review
6.2Service of Request for Review and setting the hearing date
6.3Record of the Decision-Making Process
6.4Evidence
6.5Authority to consider other issues
6.6Witnesses
6.7Statement of Position
6.8Hearing


PART 7 - ENFORCEMENT PROCEEDINGS

7.1 Starting an enforcement proceeding
7.2Conduct of the different types of enforcement proceedings
7.3Content of Statement of Allegations
7.4Service of originating document
7.5Defending the allegations
7.6Setting the hearing date
7.7Evidence
7.8Witnesses
7.9Statement of Position
7.10Hearing

PART 8 - APPLICATIONS
8.1 Application of Part 8
8.2Starting an application
8.3Application without notice
8.4Service of Notice of Application and setting the hearing date
8.5Response to application
8.6Evidence, witnesses and Statement of Position
8.7Hearing

PART 9 - MOTIONS
9.1
Bringing a motion
9.2Motion without notice
9.3Preliminary motion for temporary relief
9.4Service of Notice of motion and setting the hearing date
9.5Response to motion
9.6Evidence, witnesses and Statement of position
9.7Hearing

PART 10 - PREPARATION FOR HEARING, EVIDENCE AND WITNESSES
10.1 Disclosure and production of documents by the Commission in an enforcement proceeding
10.2Disclosure, witnesses and Statement of position
10.3Production of documents
10.4Privilege
10.5Consequence of failure to disclose or produce
10.6Expert witnesses
10.7Failure to produce expert witness information
10.8Appointment of expert by Tribunal
10.9Summons of witnesses

PART 11 - SETTLEMENT
11.1 Application of Part 11
11.2Settlement opportunities
11.3Approval by Tribunal required
11.4Settlement agreement
11.5Application for hearing
11.6Setting the hearing date
11.7Settlement hearing
11.8Evidence, witnesses and Statement of position
11.9Recording of hearing
11.10Reasons for order or decision
11.11Effect of disapproval on proceeding
11.12Breach of Settlement Agreement

PART 12 - CASE CONFERENCE
12.1 Purposes
12.2Attending a case conference
12.3Procedure
12.4Procedural orders or agreements
12.5Constitution of subsequent hearing panel

PART 13 - HEARINGS
13.1 Notice of hearing
13.2Hearing format
13.3How to present evidence
13.4Document accepted into evidence
13.5Evidence taken outside a hearing
13.6Exclusion of witnesses
13.7Hearings usually open to the public and media
13.8Hearing on sanctions and costs
13.9Non-appearance of a party
13.10Recording of hearing

PART 14 - COSTS OF PROCEEDING
14.1 Hearing and investigation costs

PART 15 - ORDERS AND DECISIONS
15.1 Orders and decisions
15.2Service of order or decision
15.3Request for revocation or variation
15.4Publication of orders and decisions

PART 16 - TRANSITIONAL PROVISIONS
16.1 Proceeding commenced under Local Rule 15-501

PART 17 - REPEAL OF LOCAL RULE 15-501
17.1 Repeal of Local Rule 15-501

PART 18 - EFFECTIVE DATE
18.1 Effective date