Financial Services Commission of Ontario

DRS Arbitration and Appeal Decisions
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Hearings before the Superintendent
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Part IV: Hearings

  1. Hearing Format

    8.01 The hearing will be held as a written hearing.

    8.02 The Superintendent may hold the hearing as an electronic hearing, or an oral hearing, or a hearing which combines written, electronic or oral formats if a party satisfies the Superintendent that there is good reason for not holding a written hearing.

    8.03 When considering a request to vary the format of a hearing from a written format to another format, the Superintendent may consider any relevant factors including:
  2. (a) whether the nature of the evidence is not appropriate for a written hearing, including whether credibility is in issue and the extent to which facts are in dispute;
    (b) the extent to which the matters in dispute are questions of law;
    (c) ensuring a fair and understandable process; or
    (d) the desirability or necessity of public participation or public access to the Superintendent's process.

  3. Hearings in the Absence of the Public

9.01 Subject to Rule 9.2, a hearing shall be open to the public.

9.02 The Superintendent may direct that a hearing be held in the absence of the public if he or she is satisfied that:

(a) intimate financial or personal matters may be disclosed at the hearing;
(b) specific harms may result from disclosure; and
(c) under the circumstances, it is more desirable to avoid disclosure than to hold the hearing open to the public.

9.03 Where the Superintendent orders that a hearing, or part of a hearing, be held in the absence of the public, the Superintendent shall issue a procedural order as to the holding of the hearing and the rights and obligations of the persons and parties permitted to attend the hearing.


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