Guide to Capital Markets Tribunal Proceedings
The Guide to Capital Markets Tribunal Proceedings is intended to assist individuals and parties involved in proceedings before the Capital Markets Tribunal. It provides an overview and information about the Tribunal’s procedures.
Rules of Procedure and Forms
The Rules of Procedure and Forms govern all proceedings held before the Tribunal. The objective of the Rules is to ensure that proceedings are conducted in a just, expeditious and cost-effective manner. They apply to all proceedings before the Tribunal.
Downloadable forms are available for use by a party.
The Practice Guideline assists with the application of the Rules and sets out timelines for procedural steps in a proceeding. The Practice Guideline applies to all proceedings before the Tribunal. The Practice Guideline also includes the Index File Template form. The Index File lists and describes all the documents contained in the Electronic Hearing Brief. It is a comma delimited text file in “.csv” format (which can be created in Excel or other programs).
Book of Authorities
The Book of Authorities contains cases that have been frequently cited in Tribunal decisions.
When filing hearing materials with the Tribunal, a party relying on a case listed in the Book of Authorities does not need to reproduce the case in its entirety. Refer to the Tribunal's Practice Guideline for details on the use of the Book of Authorities.
Assistance for self-represented parties
The Litigation Assistance Program and Duty Counsel Program are designed to provide assistance to self-represented parties who are involved in an enforcement proceeding or an application for hearing and review proceeding before the Tribunal.