THE CORPORATIONS LAW

CHAPTER 7 - SECURITIES

PART 7.3 - PARTICIPANTS IN THE SECURITIES INDUSTRY

Division 5 - Excluding persons from the securities industry

SECTION 837   OPPORTUNITY FOR HEARING  

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837(1)  [Commission not to make certain orders without hearing]  

The Commission shall not:

(a)  refuse, otherwise than by virtue of section 836 or subsection 839(1), an application for a licence;

(b)  impose conditions on a licence;

(c)  vary the conditions of a licence;

(d)  revoke or suspend a licence otherwise than by virtue of section 824, 825 or 825A or paragraph 827(1)(a);

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(e)  make, otherwise than by virtue of paragraph 828(a) or (d) or 829(a), (b) or (c), an order under section 830 against a person;

(f)  make under subsection 831(2) an order varying a banning order against a person; or

(g)  refuse an application by a person under section 832;

unless the Commission complies with subsection (2) of this section.

 View history note

837(2)  [Right to appear and be heard]  

The Commission shall give the applicant, licensee or person, as the case may be, an opportunity:

(a)  to appear at a hearing before the Commission that takes place in private; and

(b)  to make submissions and give evidence to the Commission in relation to the matter.

 

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