8426. Protective orders 

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    1. Where a proceeding pursuant to section 8212 is commenced, Enforcement Staff must serve the respondent with, and 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. A notice of application must contain: 

      1. the date, time and location of the hearing, 

      2. a statement of the purpose of the proceeding, 

      3. the order requested by Enforcement Staff

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

      5. a statement of the facts alleged that support the alleged contraventions, the need for a protective order and the order sought, 

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

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

      8. any other information that Enforcement Staff considers advisable.

    3. An application record must contain: 

      1. the notice of application, and 

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

    4. Enforcement Staff must serve the application record before it is filed and a respondent may serve and file a responding record. 

    5. 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. 
    6. A party to an application under subsection 8426(1) may serve and file a memorandum of fact and law prior to the hearing of the application
    7. 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. 
    8. A hearing panel may: 
      1. grant the order requested, 
      2. dismiss or adjourn the application in whole or in part, with or without terms, and 
      3. make any other decision authorized by subsection 8212(4) that it considers appropriate.

    There is no history log for this rule.

    There is no history log for this rule.