Whole Section

  • 7.10 Appeals Proceedings

    • 7.10.1 Appeals Committee Procedures

      Procedures may be issued in relation to Appeals Committee proceedings. The procedures are binding on all the parties to the proceedings and may be varied by the Appeals Committee as provided in the procedures or this Rules. Where any matter is not dealt with by the procedures or this Rules, the Appeals Committee may establish its own procedures.

      Refer to the [Disciplinary Committee and Appeals Committee Handbook].

      Amended on 3 June 20193 June 2019.

    • 7.10.4 Appeals by Rehearing

      The Appeals Committee shall determine the appeal by way of rehearing. It shall only rehear that part of the decision of the Disciplinary Committee which is appealed against.

      Amended on 3 June 20193 June 2019.

    • 7.10.9 Decision of Appeals Committee

      (a) [deleted]
      (b) The Appeals Committee shall provide written grounds of its decision , which shall include any Sanctions imposed against the Member, Approved Trader or Registered Representative, within a reasonable period after the conclusion of the hearing.
      (c) The Appeals Committee shall cause its written grounds of decision to be published, unless the Sanction imposed involves the issuance of a private reprimand. Where a private reprimand is issued by the Appeals Committee, the Appeals Committee shall determine whether the written grounds of decision are to be published in part or in whole.
      (d) Each Member, Approved Trader or Registered Representative irrevocably consents to the publication of the Appeal Committee's written grounds of decision pursuant to Rule 7.10.9. The consent will remain valid and effective notwithstanding that the Member, Approved Trader, or Registered Representative ceases to be a Member, Approved Trader or Registered Representative. A Member, Approved Trader or Registered Representative cannot initiate any action or proceeding against the Exchange or the Appeals Committee for such publication.

      Amended on 3 June 20193 June 2019.