Application
An application is a formal request made by a party to the Tribunal. The Tribunal can only hear an application if it has been granted the authority in a statute. The application starts a proceeding before the Tribunal.
Bringing an Application
To bring an application, you must prepare a Notice of Application (Form 3).
The Affidavit is used to present evidence to the Tribunal in an application because the testimony of witnesses is typically not permitted. If you intend to present evidence in support of your application, you should prepare an Affidavit (Form 9). For more information on preparing an Affidavit, please consult the section called “Assistance for Preparing an Affidavit” below.
You may also want to prepare a Statement of Position (Form 13), which sets out your arguments in support of your application. Although the Statement of Position is not mandatory, it helps the hearing panel and the other parties understand your arguments.
Once you have completed your Notice of Application, any supporting Affidavits, and your Statement of Position, if you prepared one, send them to the Registrar of the Tribunal. The Registrar returns a filed copy to you and the other parties unless the application is brought without notice.
Application Without Notice
Your application can be brought with or without notice to the other parties. Typically, an application must be brought with notice, which means it is served upon the other parties to allow them to respond. In certain exceptional circumstances, an application may be brought without notice, in which case it is not served upon the other parties, such that they are not entitled to respond. An application without notice is only permitted in the following circumstances:
- such an application is permitted by financial and consumer services legislation,
- the nature of the application renders service of a Notice of Application impractical or unnecessary,
- the circumstances render service of a Notice of Application impractical or unnecessary, or
- the delay necessary to carry out service might entail serious consequences.
Service of the Application Documents
The Registrar will return filed copies of the Notice of Application, Affidavit(s) and Statement of Position to you. With the exception of an application without notice, you must serve these documents upon the respondents by one of the following means:
On an individual:
- by hand delivering a copy of the documents to the individual,
- by hand delivering a copy of the documents to the party’s lawyer who accepts the documents on behalf of the party,
- by sending to the party or their lawyer a copy of the documents together with an Acknowledgement of Receipt Form (Form 11) by prepaid registered mail or prepaid courier, or
- in such other manner as the Tribunal may direct or accept.
On a corporation, a partnership, or a sole proprietorship:
- by hand delivering a copy of the documents to the party’s lawyer who accepts service on behalf of the party,
- by sending to the party or their lawyer a copy of the documents together with an Acknowledgement of Receipt Form (Form 11) by prepaid registered mail or prepaid courier,
- by hand delivering a copy of the documents to an officer, director, agent, partner, or the sole proprietor, as the case may be, or to the manager or a person who appears to be in control, or
- in such other manner as the Tribunal may direct or accept.
Service by Prepaid Registered Mail or Prepaid Courier
Personal service by prepaid registered mail or prepaid courier shall be deemed to have been carried out only if you receive the Acknowledgement of Receipt Form (Form 11) bearing a signature which purports to be the signature of the person to whom the documents were sent.
Proof of Service
You must prepare an Affidavit of Service (Form 8) for each party to whom you sent the Notice of Application, Affidavit(s) and Statement of Position. The Affidavit of Service must be sent to the Registrar of the Tribunal.
Responding to an Application
If you have been served with a Notice of Application (Form 3), you can respond to the application by any or all of the following means:
- by providing evidence, either in support of or in opposition to the application, in an Affidavit (Form 9),
- by providing written arguments, either in support of or in opposition to the application, in a Statement of Position (Form 13), and
- by attending the hearing, if any, and presenting your arguments.
For more information on preparing an Affidavit, please consult the section called “Assistance for Preparing an Affidavit” below.
Once you have completed your Affidavits and your Statement of Position, if any, send them to the Registrar of the Tribunal within the deadline for filing. The Registrar returns a filed copy to you and the other parties.
Applicant's Response to Respondent's Documents
Where a respondent provides Affidavit evidence, the applicant may provide Affidavits in response. These Affidavits in response must be filed no later than five days from the date of receipt of the respondent’s Affidavits. The Registrar returns a filed copy of to all the parties.
Assistance for Preparing an Affidavit
The Affidavit is a written statement that contains important facts you want to share with the Tribunal. You swear an Affidavit under oath or affirm it before a commissioner of oaths. Swearing an Affidavit means taking an oath to tell the truth on a holy book, such as the Holy Bible. Affirming means stating that you will tell the truth. When signing an Affidavit, you promise that the information contained in the Affidavit is true. False statements in an Affidavit constitute perjury which is a serious offence.
Please consult the Guide to Preparing Your Affidavit for more information and tips on preparing an Affidavit.
Hearing and Decision
The hearing panel will determine whether the application will be heard by oral hearing or written hearing.
Setting the Hearing Date
Where an oral hearing is required, the Registrar will issue a Notice of Hearing setting out the location, date and time of the hearing.
Open to the Public
Oral hearings are generally open to the public. If you have concerns about your privacy or that of your witnesses, you may request a private hearing. You will have to show the Tribunal that the safety of the public or the risk of harm, injustice or hardship to any person outweighs the benefits of public access to the hearing. For more information, please see the Tribunal’s Privacy Policy or contact the Registrar of the Tribunal.
Conduct of the Hearing
An application is heard by a hearing panel composed of three Tribunal members. The hearing of an application usually follows the outline set out below:
- Welcome: The hearing panel enters the hearing room and introduce themselves.
- Applicant’s Arguments: The applicant presents their arguments.
- Respondent’s Arguments: The respondent presents its arguments.
- Conclusion and Decision: The hearing panel indicates whether the decision will be given that day or sent to the parties at a later date.
Appeal a Decision of the Tribunal
If you disagree with the Decision of the Tribunal, you may have the option of appealing it or seeking a judicial review.
Final decisions of the Tribunal may be appealed to the Court of Appeal with permission (leave) of that Court. The deadline for filing an application for leave to appeal is 30 days from the issuance of the Decision. Section 48 of the Financial and Consumer Services Commission Act, S.N.B. 2013, c 30 sets out the appeal process.
You may also be able to seek a judicial review of the Decision of the Tribunal. For more information on judicial review, please consult Rule 69 of the New Brunswick Rules of Court.
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