8414. Commencement of disciplinary proceedings 

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    1. Forthwith after a proceeding pursuant to section 8209 or 8210 is commenced, Enforcement Staff must serve the respondent with, and file, the notice of hearing and a statement of allegations. 

    2. A notice of hearing must contain: 

      1. the date, time and location of an initial appearance before a hearing panel

      2. a statement of the purpose of the proceeding, 

      3. a statement that the allegations on which the proceeding is based are contained in the statement of allegations, 

      4. a reference to IIROC requirements under which the proceeding is brought, 

      5. the nature of the sanctions that may be imposed, 

      6. if the notice of hearing states that the hearing is to be an electronic hearing or written hearing, a statement that the respondent may object to the type of hearing and the procedure to be followed for an objection, 

      7. a statement that the respondent must provide a response to the notice of hearing in accordance with section 8415, the time within which a response must be served and filed and the consequences of failing to do so, 

      8. a statement that the initial appearance will be followed immediately by an initial prehearing conference, for which a prehearing conference form must be filed in accordance with subsection 8416(5), and 

      9. any other information that Enforcement Staff considers advisable.

    3. A statement of allegations may accompany or comprise part of a notice of hearing and must contain: 

      1. a reference to IIROC requirements or applicable laws that the respondent is alleged to have contravened, 

      2. the facts alleged in support of the alleged contraventions, and 

      3. the conclusions of Enforcement Staff based on the alleged facts. 

    4. The date of an initial appearance set out in a notice of hearing must not be less than 45 days after the notice of hearing is served, unless the respondent consents to an earlier date.

    There is no history log for this rule.

    There is no history log for this rule.