Whole Section

  • 4.06A Appeals Proceedings

    • 4.06A.3 Appeals By Rehearing

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

      Added on 27 March 200627 March 2006 and amended on 3 June 20193 June 2019.

    • 4.06A.8 Decision of Appeals Committee

      4.06A.8.1 [deleted]
      4.06A.8.2 The Appeals Committee shall provide written grounds of decision,which shall include any sanctions imposed against the Clearing Member, within a reasonable period after the conclusion of the hearing.
      4.06A.8.3 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.
      4.06A.8.4 Each Clearing Member irrevocably consents to the publication of the Disciplinary Committee's written grounds of decision pursuant to Rule 4.06A.8.3. The consent will remain valid and effective notwithstanding that the Clearing Member ceases to be a Clearing Member. A Clearing Member cannot initiate any action or proceeding against the Clearing House or the Appeals Committee for such publication.

      Amended on 3 June 20193 June 2019.