9408. Exchange of written submissions 

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    1. This section describes the process to be followed if the opportunity to be heard is conducted by exchange of written submissions. 

    2. Registration Staff must provide the applicant, Approved Person or Dealer Member with a written submission setting out the facts and law supporting Registration Staff’s recommendation. Registration Staff’s submission must be delivered to the applicant, Approved Person or Dealer Member within 10 business days after Registration Staff receives the applicant’s, Approved Person’s or Dealer Member’s response (as defined in section 9406). 

    3. An applicant, Approved Person or Dealer Member must then provide Registration Staff with a written submission responding to Registration Staff’s submission, to be delivered within 10 business days after the applicant, Approved Person, or Dealer Member receives Registration Staff’s submission. 

    4. Subject to agreement of the parties or a decision of the decision maker, there will only be one exchange of written submissions so that the decision maker may render a decision without unnecessary delay; however,  where the parties agree to make further submissions or either of them requests that the decision maker  allow further submissions, such agreement or request must be made within five business days after delivery of the applicant’s, Approved Person’s or Dealer Member’s submission under subsection 9408(3). 

    5. Unless an agreement or request is made under subsection 9408(4), Registration Staff’s and the applicant’s, Approved Person’s or Dealer Member’s respective submission will be delivered by Registration Staff to the decision maker within five business days after the applicant’s, Approved Person’s or Dealer Member’s submission is delivered. 

    6. If an agreement or request is made under subsection 9408(4), the submissions of all parties will be delivered by Registration Staff to the decision maker when all submissions have been delivered or the time for their delivery has elapsed. 

    There is no history log for this rule.

    There is no history log for this rule.