Irish Financial Services Appeals Tribunal Rules 2008
Statutory Instruments
Source: Statutory Instruments

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paragraphs: (1) These Rules may be cited as the Irish Financial Services Appeals Tribunal Rules 2008.
(2) These Rules come into force on 1 August 2008.
(3) These Rules contain the procedure which applies in any appeal to the Appeals Tribunal from an appealable decision and in any application under Part VIIA of the Central Bank Act 1942 .
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paragraphs: In these Rules—
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paragraphs: The forms annexed to these Rules may be used in proceedings. However, any deviation from those forms shall not render any proceedings void.
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paragraphs: (1) Any affected person may appeal to the Appeals Tribunal from an appealable decision by notice in writing (in these Rules referred to as the “Notice of Appeal”) sent to the Registrar within 28 days after the Regulatory Authority notified the affected person of the decision concerned, or within such extended period as the Registrar may allow, having consulted the Chairperson (on an application for that purpose being made). The Notice of Appeal may be in the appropriate form annexed.
(2) Every Notice of Appeal should:
(i) give the name and address and, where available, the fax number and e-mail address of the appellant and the name and address and, where available, the fax number and e-mail address of any agent who it is intended will represent him or it before the Appeals Tribunal;
(ii) identify (and annex a copy of) the decision of the Regulatory Authority against which the appeal is taken;
(iii) state the grounds of appeal in concise form;
(iv) identify concisely the matters which it is alleged rendered the appellant an affected person;
(v) where the appellant contends that the decision may be and should be varied, set aside or some other decision substituted for it, confirm that the decision was made under Part IIIC of the Act and state the nature of the variation or the decision which it is sought to substitute for that made by the Regulatory Authority.
(3) The Registrar shall record the date of receipt of every Notice of Appeal on the Register.
(4) The Registrar shall send a true copy of every Notice of Appeal and any annex to the Regulatory Authority and to any other person whom the Registrar considers has an interest in the subject matter of that appeal which would justify that person’s submissions (if any) on the appeal being considered by the Appeals Tribunal. The Registrar may consult with the Chairperson for that purpose.
(5) (i) The Registrar may, having consulted with the Chairperson, require or direct the Appellant or any person upon whom the Notice of Appeal has been served to deliver to the Registrar such documents or category of documents in his or her possession or procurement which in the opinion of the Registrar or Chairperson may be relevant or helpful in identifying any matter to be determined by the Appeals Tribunal in the appeal.
(ii) The Appellant or other party to whom such a requirement or direction is directed shall forthwith or within such time as directed by the Registrar deliver to the Registrar such documents as are specified in the Notice.
(iii) The Registrar shall forward copies of all such documents to all other parties to the proceedings within a reasonable period.
(6) Any response (in this Rule referred to as “the Response”) by a person to whom the copy Notice of Appeal is sent shall be in writing and delivered to the Registrar within fourteen days after the date on which the copy Notice of Appeal is sent to the person concerned. The Registrar may, at his sole discretion on application for that purpose, extend the time for the delivery of the Response to a maximum of 28 days from the date on which the copy Notice of Appeal is sent. Any application to extend the period for the delivery of the Response beyond 28 days from the date on which the copy Notice of Appeal is sent shall be to the Appeals Tribunal in accordance with Rule 23.
(7) As soon as may be after receipt of a Notice of Appeal, the Registrar shall give a copy of the Notice of Appeal to the Chairperson. The Chairperson shall designate the members constituting the Appeals Tribunal for the purposes of that appeal. The Chairperson may designate the same or any other members to constitute the Appeals Tribunal for any application in relation to the appeal and may from time to time designate members to constitute the Appeals Tribunal for any interlocutory application.
(8) The Regulatory Authority’s Response must:
(i) include the Register reference number of the proceedings to which the Response relates;
(ii) include a statement by the Regulatory Authority as to whether it accepts that the decision is an appealable decision, and where the Regulatory Authority does not accept that the decision is an appealable decision, the grounds upon which it does not accept that the decision is an appealable decision;
(iii) include a statement by the Regulatory Authority as to whether it accepts that the appellant is an affected person, and where the Regulatory Authority does not accept that the appellant is an affected person, the grounds upon which it does not accept that the appellant is an affected person;
(iv) state whether the Regulatory Authority agrees with the statement made by the appellant of the circumstances in which the decision of the Regulatory Authority was made and where it disagrees, the basis for such disagreement;
(v) where the Regulatory Authority disputes the appeal, set out the grounds on which the appeal is disputed;
(vi) where it is claimed that the Regulatory Authority’s decision should be varied or another decision substituted therefor, confirm whether the Regulatory Authority agrees that the decision was made under Part IIIC of the Act, state whether the Regulatory Authority agrees or concedes that its decision should be varied or another decision substituted therefor, and state the nature of the variation or the terms of the alternative decision to which the Regulatory Authority is agreeable.
(9) Any other Response must:
(i) include the Register reference number of the proceedings to which the Response relates;
(ii) state whether the person responding agrees with the statement made by the appellant as to the circumstances in which the decision of the Regulatory Authority was made and where it disagrees, the basis for such disagreement;
(iii) where that person disputes the appeal, set out the grounds on which the appeal is disputed.
(10) Within ten days (or such further time, not exceeding fourteen further days, as the Registrar may permit) of receipt of a Response under this Rule, an Applicant to whom that Response is addressed may deliver to the Registrar and to each respondent a written Reply to such Response.
(11) The Registrar shall convene the Appeals Tribunal to determine how an appeal should proceed (and to consider any application under the Act made in connection with the appeal) as soon as may be after the expiry of the period within which Responses to the Notice of Appeal are to be delivered. The parties to an appeal shall ordinarily not be required to attend any sitting of the Appeals Tribunal for this purpose. Subject to Rule 25, a sitting for this purpose may be conducted by telephone or by videoconference or other suitable communications technology.
(12) In addition to any other order it may make when sitting to determine how an appeal should proceed, the Appeals Tribunal may of its own motion:
(i) if satisfied that it may do so consistently with the requirements of the Act, dismiss the appeal in accordance with section 57V(7) of the Act or remit the decision appealed from to the Regulatory Authority in accordance with section 57X of the Act;
(ii) direct that notice of the appeal be given to some other person or persons;
(iii) make any order or give any direction which might be made or given at a directions hearing and request the Chairperson to fix a time and place for the hearing of the appeal;
(iv) direct that any party produce any documents, copies of documents or other information to the Appeals Tribunal and to the other parties within such time as is directed, and/or
(v) direct that a directions hearing be held before the member presiding or the Registrar.
(13) The Registrar will, as far as practicable, consult the appellant, the Regulatory Authority and any other party as to a suitable date and time for any directions hearing and in any event shall notify each party as to the date and time fixed for the directions hearing and the place at which (or means by which) the directions hearing shall be conducted.
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paragraphs: (1) Subject as hereinafter provided, on lodging of a Notice of Appeal, or within 10 days of such lodgment an appellant shall lodge, in the form of banker’s draft, a fee (in these Rules, referred to as the “Appeal Fee”) of €5,000 with the Registrar. The Registrar may, at his sole discretion on application for that purpose, extend the period for the lodging of the Appeal Fee to a maximum of 14 days from the date of lodgment of the Notice of Appeal.
(2) Subject as hereinafter provided, a Notice of Appeal may be struck out by the Registrar if the appellant does not, within the time permitted, lodge the Appeal Fee in the amount and in the form prescribed.
(3) Where the appellant considers that the payment of the Appeal Fee would be a cause of serious financial hardship to him and that the requirement to pay the Appeal Fee might be a cause of injustice, he must so notify the Registrar on lodging the Notice of Appeal. In such circumstances, the Appeals Tribunal may waive the payment of all or part of the Appeal Fee.
(4) In addition to, and without prejudice to, any order as to costs which it may make, the Appeals Tribunal may direct the refund, in whole or in part, of the Appeal Fee where the proceedings terminate in a manner favourable to the appellant.
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paragraphs: (1) The purposes of a directions hearing shall include ensuring, consistently with the requirements of the Act, that appeals are progressed and prepared for hearing in a manner which is just, expeditious and likely to minimise the costs incurred, and in particular that, as soon as may be in advance of the hearing:
(a) the issues to be decided in the appeal are defined as clearly, as precisely and as concisely, as possible;
(b) all materials including information and documents which should be exchanged between or among the parties and/or given to the Appeals Tribunal have been exchanged or given;
(c) all inquiries which the Appeals Tribunal consider should be made into any matter have been made and, where appropriate, the parties have had an opportunity to consider the product of such inquiries, and
(d) all applications intended to be made by any of the parties to the Appeals Tribunal under the Act in connection with the matters at issue in the appeal have been made or notified.
(2) Where the Chairperson (or, if so authorised by the Chairperson, the Registrar) is satisfied that this may be done without inconvenience or injustice to any party, a directions hearing may, subject to Rule 25, be conducted by telephone or by videoconference or other suitable communications technology.
(3) The Chairperson (or, if so authorised by the Chairperson, the Registrar) may require any one or more of the parties to give to him and/or to the other parties before the directions hearing any information or materials which he considers may assist the efficient conduct of the directions hearing which, without prejudice to the generality of the foregoing, may include:
(a) that party’s proposals for the efficient conduct of the appeal;
(b) a list of the specific issues or questions which that party considers must be determined in the appeal;
(c) a list of the persons, if any, proposed to give evidence at the hearing of the appeal, and/or
(d) a reasoned estimate of the time likely to be spent in—
(i) preparing the appeal for hearing, and
(ii) the hearing of the appeal.
(4) Each party must ensure that a person (including an agent or representative) participating in a directions hearing on his or its behalf has sufficient authority, to deal with any matters that are likely to be dealt with at the directions hearing.
(5) Without prejudice to the powers which the person chairing a directions hearing may exercise under the Act, that person may, having afforded the parties an opportunity to be heard, at or following the directions hearing:
(a) establish a full or partial timetable for completing preparation of the appeal (or specified issues in the appeal) for hearing;
(b) direct the parties to give to one another and to the Registrar within a period specified in that direction:
(i) any statements or particulars of fact,
(ii) lists of the witnesses they intend to call and/or written statements outlining the essential elements of the evidence of the witnesses they intend to call,
(iii) written submissions on any matter;
(c) fix any issues to be determined in the appeal;
(d) require any party to provide discovery or inspection of any documents;
(e) require any person to make a statutory declaration on any specified matter;