8425. Temporary orders 

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    1. Where a proceeding pursuant to section 8211 is commenced, Enforcement Staff must file a notice of application and application record at least five days prior to the date of the hearing or a shorter period permitted by a hearing panel

    2. An application under subsection 8425(1) may be made with or without notice to the respondent

    3. A notice of application must contain: 

      1. the date, time and location of the hearing

      2. whether notice has been given to the respondent

      3. a statement of the purpose of the proceeding, 

      4. the sanctions requested by Enforcement Staff

      5. the grounds for the application, including a reference to any IIROC requirements or applicable laws that the respondent is alleged to have contravened, 

      6. a statement of the facts alleged that support the alleged contraventions and the need for a temporary order, 

      7. a list of documentary and other evidence relied on, 

      8. whether it is proposed that the application be heard as an oral hearing, electronic hearing or written hearing, and 

      9. any other information that Enforcement Staff considers advisable.

    4. An application record must contain: 

      1. the notice of application, and 

      2. copies of the evidence, including affidavit and other materials relied on. 

    5. If an application under subsection 8425(1) is made with notice, Enforcement Staff must serve the respondent with the application record before it is filed and the respondent may serve and file a responding record at least two days prior to the date of the hearing

    6. A responding record must contain: 

      1. the order requested by the respondent, including a statement of the reasons for the order requested, and 

      2. copies of any additional evidence, including affidavits and other materials relied on. 

    7. A party to an application under subsection 8425(1) may serve, if notice is given, and file a memorandum of fact and law prior to the hearing of the application

    8. A hearing panel may, at any time, on any terms or conditions it considers appropriate, require oral testimony to be adduced at the hearing on any matter in issue and allow cross-examination on an affidavit. 

    9. A hearing panel may: 

      1. grant the temporary order requested, 

      2. dismiss or adjourn the application in whole or in part, with or without terms, and 

      3. make another decision it considers appropriate. 

    10. If an application under subsection 8425(1) is made on notice, the decision and reasons of the hearing panel constitute the notice required by subsection 8211(3). 

    11. If an application under subsection 8425(1) is made without notice, a notice of a temporary order pursuant to subsection 8211(3) must contain: 

      1. a statement that a temporary order has been made with respect to the respondent, describing the terms of the temporary order, 

      2. the grounds on which the temporary order was requested and a reference to the notice of application containing them, and 

      3. a summary of subsection 8211(2) and the date, time and location of a hearing pursuant to clause 8211(2)(i). 

    12. A notice of a temporary order under subsection 8425(11) must be accompanied by: 

      1. a copy of the decision or order and reasons of the hearing panel

      2. a copy of the notice of application and application record filed by Enforcement Staff

      3. a summary of any oral evidence received by the hearing panel or a transcript of the hearing

      4. copies of any documentary or other evidence received by the hearing panel that is not contained in the application record, and 

      5. any written submissions presented to the hearing panel

    13. A hearing to extend a temporary order must follow the procedure in section 8413 for a motion.

    There is no history log for this rule.

    There is no history log for this rule.