8406. Service and filing

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    1. A document required to be served under the Rules of Procedure must be served on all parties to the proceeding. 

    2. A notice of hearing under section 8414, a notice of application under section 8425 or 8426, a notice of request for review from a decision made under Rule 9200 and a decision of a hearing panel on the merits of such a proceeding that is served on an Approved Person must, for information purposes, be sent concurrently to the Dealer Member that employs the Approved Person

    3. Subject to subsection 8406(4), a document required to be served must be served by one of the following methods: 

      1. personal delivery to the party

      2. delivery to the party’s counsel or agent, 

      3. delivery to an adult person at the party’s place of residence, employment or business or the place of business of the party’s counsel or agent, 

      4. if the party is a corporation, delivery to an officer, director or agent of the corporation or a person at any place of business of the corporation who appears to be in control or management of the place of business, 

      5. if the party is a partnership, delivery to a partner or a person at any place of business of the partnership who appears to be in control or management of the place of business, 

      6. mail or courier to the last known address of the party or the party’s counsel or agent, 

      7. electronic transmission to the facsimile number or e-mail address of the party or the party’s counsel or agent, or 

      8. by any other means authorized by a hearing panel

    4. A notice of hearing and a notice of application must be served by: 

      1. personal delivery to the party,

      2. registered mail to the party’s last known address, 

      3. delivery to the party’s counsel or agent, with the consent of counsel or the agent, 

      4. any other method set out in subsection 8406(3) to which the party consents, or 

      5. any other means authorized by a hearing panel

    5. Service of a document is deemed to be effective, when delivered no later than 4 p.m. in the time zone of the recipient: 

      1. by delivery, on the day of delivery, 

      2. by mail, on the fifth day after mailing, 

      3. electronically, on the day of transmission, 

      4. by courier, on the earlier of the day noted on the delivery receipt or the second day after the day on which it was given to the courier, or

      5. by any other means authorized by a hearing panel, on the day the document is served by the means so authorized. 

    6. Service of a document may be proved by an affidavit of the person who served it. 

    7. A document required to be filed under the Rules of Procedure must be filed by delivering or sending by mail, courier or facsimile transmission four copies of the document, with proof of service, to the National Hearing Coordinator at IIROC’s offices in the District in which the proceeding is conducted. 

    8. The National Hearing Coordinator may: 

      1. require more or permit fewer than four copies of a document to be filed, and 

      2. permit or require filing of a document by e-mail, provided that the party also files four printed copies forthwith. 

    9. A party who serves or files a document must include with it: 

      1. the party’s name, address, telephone number, facsimile number and e-mail address, as applicable, or

      2. if the party is represented by counsel or an agent, the name, address, telephone number, facsimile number and e-mail address of the party’s counsel or agent, 

      3. the name of the proceeding to which the document relates, and 

      4. the name of each party, counsel or agent served with the document

    10. Subject to IIROC requirements, a document that is filed must be made available by the National Hearing Coordinator for public inspection in the office in which the document is filed during IIROC’s normal business hours, unless confidentiality is requested and a hearing panel applying the standard in clause 8203(5)(iii) or 8203(5)(iv) orders otherwise.

    There is no history log for this rule.

    There is no history log for this rule.