Enforcement Proceeding

The Financial and Consumer Services Commission can start an enforcement proceeding by filing a Statement of Allegations (Form 3), a Notice of Preliminary Motion (Form 7) or a Notice of Application (Form 4). These documents contain allegations, which if proven, can have serious financial and employment consequences. The originating document must be filed and served in accordance with rules 2.2 and 2.4 of the Rules of Procedure.

Defending Yourself
Filing a Motion

Consider Settlement

Information on the ways to start an enforcement proceeding.


Information on filing and responding to a motion.

Information on when and how to seek a settlement.


Steps of an Enforcement Proceeding
How to Prepare for the Hearing
The Hearing Day

Information on the steps to take in an enforcement proceeding.

Information on preparing your witnesses, evidence and arguments for the hearing.

Information on what to expect at the hearing.