Securities Law

15-601 - Hearings [BCP - Rescinded]

Published Date: 2010-01-13
Effective Date: 2010-01-11
Rescinded Date: 2020-05-19
Document(s):

Concurrently Published:

Table of Contents

INTRODUCTION
PART 1  INTERPRETATION
1.1 Application
1.2 Defined terms

PART 2 HEARINGS
2.1 Procedures
2.2 Parties
2.3 Notices of hearings
2.4 Temporary orders
2.5 Summons of witnesses
2.6 Disclosure
2.7 Evidence
2.8 Electronic hearings
2.9 Facts, law
2.10 Notice of constitutional question
2.11 Notice of Human Rights Code question
2.12 Joint hearings

PART 3 ENFORCEMENT ORDERS UNDER SECTION 161(6)
3.1 Power
3.2 Procedure

PART 4 SETTLEMENTS IN ENFORCEMENT MATTERS
4.1 Delegation
4.2 Conditions

PART 5 REVIEWS
5.1 Purpose
5.2 Requests for reviews
5.3 Reviews by the Commission
5.4 Stays
5.5 Notices of hearings
5.6  Parties
5.7 Record
5.8 Statements of points
5.9 Form and scope of reviews
5.10 Scope of decisions

PART 6  HEARING MANAGEMENT
6.1 Purpose
6.2 Directions by commissioner
6.3 Outcome
6.4 Adjournments
6.5 Applications for rulings

PART 7  GENERAL
7.1 Counsel
7.2 Service
7.3 Consolidation
7.4 Recording evidence
7.5 Public attendance
7.6 Sending records

PART 8  RULINGS, FINDINGS AND DECISIONS
8.1 Sanctions
8.2 Administrative penalty
8.3 Conditions
8.4 Costs
8.5 Interest on financial sanctions and costs
8.6 Written reasons
8.7 Decisions
8.8 Timing
8.9 Delivery
8.10 Reviews and appeals of decisions