8305. Appointment

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    1. The Corporate Governance Committee must appoint to the hearing committee of each District a number of suitable and qualified individuals sufficient to conduct hearings in the District

    2. In considering the suitability and qualifications of an individual who is nominated for membership on a hearing committee, the Corporate Governance Committee must take into account the individual’s: 

      1. general knowledge of business practices and securities laws

      2. experience, 

      3. regulatory background, 

      4. availability for hearings

      5. reputation in the securities industry, 

      6. ability to conduct hearings in French or English, and

      7. Districts in which individuals would be entitled to serve. 

    3. An individual who: 

      1. is currently or has been within the previous eighteen months an employee of a Member, a Regulated Person, or an affiliate of a Member or Regulated Person,

      2. represents any parties to enforcement or other proceedings under IIROC requirements or any person in connection with IIROC requirements, or 

      3. would otherwise raise a reasonable apprehension of bias with respect to matters that may come before a hearing panel

    4. is not eligible for appointment or membership as a public member of a hearing committee

    5. The Corporate Governance Committee must appoint a chair of each hearing committee.

    There is no history log for this rule.

    There is no history log for this rule.