Versions

 

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.