9415. Exchange of written submissions

Or jump to a Series:

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

    2. IIROC staff must provide the applicant with a written submission setting out the facts and law supporting IIROC staff’s recommendation, which submission must be delivered to the applicant within 10 business days after IIROC staff receives the applicant’s response (as defined in section 9413).

    3. An applicant must then provide IIROC staff with a written submission responding to staff’s submission, to be delivered within 10 business days after the applicant receives IIROC staff’s submission.

    4. Subject to agreement of the parties or a decision of the Board

      1. there will only be one exchange of written submissions so that the Board may render a decision without unnecessary delay, and

      2. where the parties agree to make further submissions or either of them requests that the Board allow further submissions, such agreement or request must be made within five business days after delivery of the applicant’s submission under subsection 9415(3).

    5. Unless an agreement or request is made under subsection 9415(4), IIROC staff’s and the applicant’s respective submission will be provided to the Board within five business days after the applicant’s submission is delivered.

    6. If an agreement or request is made under subsection 9415(4), the submissions of all parties will be provided to the Board 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.