Securities Law

15-601 - Hearings [BCP Blackline Amendment Proposed - Lapsed]

Published Date: 2008-12-17
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

2.98        Facts, law

2.109      Notice of constitutional question

2.11        Notice of the Human Rights Code question

2.120      Joint hearings

PART 3           ENFORCEMENT ORDERS WITHOUT A FULL HEARING UNDER SECTION 161(6)

3.1          Power

3.2          Procedure

PART 4           SETTLEMENTS IN ENFORCEMENT MATTERS

4.1          PurposeDelegation

4.22        Conditions

4.3          Financial sanctions

4.3          Content to reciprocal orders

4.4          Form

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           PRE-HEARING HEARING MANAGEMENT CONFERNCES

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          Adjournments

7.7          Applications for rulings

7.68        Sending records

PART 8           RULINGS, FINDINGS AND DECISIONS

8.1          SanctionsPenalties

8.2          Administrative penalty

8.3          Conditions

8.4          Costs

8.5          Interest on financial sanctionspenalties and costs

8.6          Written reasons

8.7          Decisions

8.8          Timing

8.9          Delivery

8.10        Reviews and appeals of decisions