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Section 20

Disciplinary Hearings

20.1  Notice of Hearing
20.1.1 Contents of Notice
Before a Hearing Panel may impose any of the penalties provided for in Section 24.1 hereof (other than pursuant to the approval of a settlement agreement pursuant to Section 24.4.3), the Member, Approved Person or other person, as the case may be, shall have been summoned before a hearing of such Hearing Panel, of which notice shall be given in accordance with such period of time as is provided for in the Corporation’s rules of procedure, by way of Notice of Hearing, to the Member or person concerned. Such Notice of Hearing shall be in writing, shall be signed by an officer of the Corporation and contain:
(a) the date, time and place of the hearing;
(b) the purpose of the hearing;
(c) the authority pursuant to which the hearing is held;
(d) a summary of the facts alleged and intended to be relied upon by the Corporation and the conclusions drawn by the Corporation based on the alleged facts; and
(e) the provisions of Sections 20.2 to 20.4 inclusive and a description of the penalties and costs which may be imposed pursuant to Sections 24.1 and 24.2, respectively.
20.1.2 Notice Addressed to Corporation
Any notice to a Hearing Panel must be in writing and addressed to the Corporation in care of the office of the Corporation having responsibility for the applicable Regional Council.
20.1.3 Notice to Members in the Case of an Individual
In the case of an individual summoned before a hearing of a Hearing Panel, the Member or Members concerned shall be served with a copy of the Notice of Hearing.
20.1.4 Publication of Notices
A Notice of Hearing shall be published in the same manner as a notice of penalty pursuant to Section 24.5.
20.1.5  Right to be Heard
The Member or person summoned pursuant to Section 20.1 and the Corporation shall be entitled to appear and be heard at the hearing and shall be entitled to be represented by counsel or an agent and to call, examine and cross-examine witnesses and present evidence and submissions.
20.2  Reply
A Member or person summoned before a hearing of a Hearing Panel pursuant to a Notice of Hearing shall, within such period of time as is provided for in the Corporation’s rules of procedure, serve on the Corporation a reply that either:
20.2.1  specifically denies (with a summary of the facts alleged and intended to be relied upon by the Member or person, and the conclusions drawn by the Member or person based on the alleged facts) any or all of the facts alleged or the conclusions drawn by the Corporation in the Notice of Hearing; or
20.2.2  admits the facts alleged and conclusions drawn by the Corporation in the Notice of Hearing and pleads circumstances in mitigation of any penalty to be assessed.
20.3  Acceptance of Facts and Conclusions
The Hearing Panel may accept as having been proven any facts alleged or conclusions drawn by the Corporation in the Notice of Hearing that are not specifically denied in the reply.
20.4  Failure to Reply or Attend
If a Member or person summoned before a hearing of a Hearing Panel by way of Notice of Hearing fails to:
(a) serve a reply in accordance with Section 20.2; or
(b) attend at the hearing specified in the Notice of Hearing, notwithstanding that a reply may have been served;
the Hearing Panel may proceed with the hearing of the matter on the date and at the time and place set out in the Notice of Hearing (or on any subsequent date, at any time and place), without further notice to and in the absence of the Member or person, and the Hearing Panel may accept the facts alleged by the Corporation in the Notice of Hearing as having been proven by the Corporation and may impose any of the penalties described in Section 24.1.

If a Member or person summoned before a hearing of a Hearing Panel by way of Notice of Hearing fails to:

(a) serve a reply in accordance with Section 20.2; or
(b) attend at the hearing specified in the Notice of Hearing, notwithstanding that a reply may have been served;
the Hearing Panel may proceed with the hearing of the matter on the date and at the time and place set out in the Notice of Hearing (or on any subsequent date, at any time and place), without further notice to and in the absence of the Member or person, and the Hearing Panel may accept the facts alleged by the Corporation in the Notice of Hearing as having been proven by the Corporation and may impose any of the penalties described in Section 24.1.
20.5  Open to the Public
A hearing pursuant to Section 20 shall be open to the public except where the Hearing Panel is of the opinion that intimate financial or personal matters or other matters may be disclosed at the hearing which are of such a nature, having regard to the circumstances, that the desirability of avoiding disclosure thereof in the interests of any person affected or in the public interest outweighs the desirability of adhering to the principle that hearings be open to the public, in which case the Hearing Panel may hold the hearing in camera.
20.6  Parties to Proceedings and Witnesses
20.6.1 Parties to Proceedings
The parties to proceedings before a Hearing Panel are:
(a) the Corporation, which shall be represented by the Corporation, or any person designated by it; and
(b) in the case of:

(i) an individual, the individual and, in the discretion of the Hearing Panel, the Member concerned;

(ii) a Member, the Member.

20.6.2  Attendance or Production
Every Member, Approved Person and other person under the jurisdiction of the Corporation may be required by a Hearing Panel:
(a) to attend before it at any of its proceedings and give information respecting any matter involved in the proceeding; and
(b) to produce for inspection and provide copies of any books, records and accounts of such person, or within such person’s possession and control, relevant to the matters being considered.
20.6.3 Required Attendance of Employee or Agent of Member
In the event that a Hearing Panel requires the attendance before it of any employee or agent of a Member who is not under the jurisdiction of the Corporation, the Member shall direct such employee or agent to attend and to give information or make such production as could be required of a person referred to in Section 20.6.2.
20.7  Reasons
Any decision of a Hearing Panel at a hearing held pursuant to Section 20 shall be in writing and shall contain a concise statement of the reasons for the decision. Notice of a decision shall be delivered to the Secretary who shall then promptly give notice, in the case of an individual, to the individual and to the Member concerned, or in the case of a Member, to the Member. A copy of the decision shall accompany the notice.