Financial Advisers (Appeals) Regulations 2025 · As enacted · Part 4 · Case Management
19. Case management conference
Feedback & supportThe Appeal Advisory Committee must, as soon as practicable after the appellant has filed its response under these Regulations, give directions for a case management conference to be held where it appears to the Committee that any appeal proceedings would be facilitated by holding such a conference and, in particular —
to ensure the efficient conduct of the appeal proceedings;
to determine the points on which the parties have to present further arguments or which call for further evidence to be produced;
to clarify the terms of the orders sought by the parties, their arguments of fact and law and the points at issue between them; or
to ensure that all agreements reached between the parties about the points at issue and the conduct of the appeal proceedings are recorded.
The Appeal Advisory Committee may, at any time, on the request of a party or on its own initiative, give directions for further case management conferences to be held.
The Appeal Advisory Committee may conduct a case management conference in any manner it considers to be appropriate, including —
by meeting at a physical place;
by meeting at a physical place and using virtual meeting technology;
by meeting using virtual meeting technology only; or
in an asynchronous manner by exchange of written correspondence with the parties.
Where a case management conference is held in accordance with paragraph (3)(d), the Appeal Advisory Committee must —
before giving any direction on any matter, give each party an opportunity to address the Committee on the intended direction; and
before giving any direction that affects a party’s rights or interests, give that party an opportunity to address the Committee and respond to any submission made by the other party on the intended direction.
Subregulation 1
The Appeal Advisory Committee must, as soon as practicable after the appellant has filed its response under these Regulations, give directions for a case management conference to be held where it appears to the Committee that any appeal proceedings would be facilitated by holding such a conference and, in particular —
to ensure the efficient conduct of the appeal proceedings;
to determine the points on which the parties have to present further arguments or which call for further evidence to be produced;
to clarify the terms of the orders sought by the parties, their arguments of fact and law and the points at issue between them; or
to ensure that all agreements reached between the parties about the points at issue and the conduct of the appeal proceedings are recorded.
Subregulation 2
The Appeal Advisory Committee may, at any time, on the request of a party or on its own initiative, give directions for further case management conferences to be held.
Subregulation 3
The Appeal Advisory Committee may conduct a case management conference in any manner it considers to be appropriate, including —
by meeting at a physical place;
by meeting at a physical place and using virtual meeting technology;
by meeting using virtual meeting technology only; or
in an asynchronous manner by exchange of written correspondence with the parties.
Subregulation 4
Where a case management conference is held in accordance with paragraph (3)(d), the Appeal Advisory Committee must —
before giving any direction on any matter, give each party an opportunity to address the Committee on the intended direction; and
before giving any direction that affects a party’s rights or interests, give that party an opportunity to address the Committee and respond to any submission made by the other party on the intended direction.