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

PART 2 - STARTING A PROCEEDING, FILING AND SERVING DOCUMENTS

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

PART 3 - PRIVACY, CLOSED HEARINGS AND CONFIDENTIALITY REQUESTS

3.1	Transparency and privacy
3.2	Public record
3.3	Request for confidentiality
3.4	Hearings in the absence of the public and media

PART 4 - PARTIES, INTERVENORS AND PARTICIPATION

4.1	Parties and representation
4.2	Obtaining the status of party, intervenor or friend of the Tribunal
4.3	Ending participation in a proceeding

PART 5 - APPEAL FROM DECISIONS OR ORDERS

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

PART 6 - REVIEW OF DECISIONS OR ORDERS

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

PART 7 - ENFORCEMENT PROCEEDINGS

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

PART 8 - APPLICATIONS

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

PART 9 - MOTIONS

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

PART 10 - PREPARATION FOR HEARING, EVIDENCE AND WITNESSES

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

PART 11 - SETTLEMENT

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

PART 12 - CASE CONFERENCE

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

PART 13 - HEARINGS

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

PART 14 - COSTS OF PROCEEDING

14.1

Hearing and investigation costs

PART 15 - ORDERS AND DECISIONS

15.1	Orders and decisions
15.2	Service of order or decision
15.3	Request for revocation or variation
15.4	Publication of orders and decisions