Part 5 - Exemption Procedures

21. Procedures relating to exemption applications (Section 10)

(1) Upon receiving an application in terms of section 10, the Commission must publish a notice of the application in the Gazette.

(2) The provisions of section 10(6)(b) apply to a notice published in terms of sub- rule (1)

(3) The Commission may request further information from any person who submits a representation in response to a notice published in terms of sub-rule (1).

(4) After considering the application and any submissions or other information received in relation to the application, the Commission must -

  1. If the subject matter of the application appears to constitute a prohibited practice in terms of the Act -
  1. either grant an exemption in terms of section 10(2)(b) by issuing an Exemption Certificate in Form CC 10(1) to the applicant, or refuse to grant an exemption in terms of section 10(2)(c) by issuing a Notice of Refusal to Grant Exemption in Form CC 11(1); and
  2. give written reasons for its decision; and
  3. publish a notice of that decision in the Gazette, setting out the section of the Act in terms of which the exemption was granted; or
  1. If the subject matter of the application appears not to constitute a prohibited practice in terms of the Act, advise the applicant in Form CC 9(1) as provided by section 10(2)(a).

(5) If the Commission issues advice to an applicant in terms of section 10(2)(a) and subrule (4)(b) in respect of a particular practice, subject to sub-rule (6), -

  1. the Commission may withdraw that advice at any time, by giving the applicant at least 90 days notice of its intention to do so in Form CC 9(2);
  2. upon withdrawing its advice to the applicant at any time -
  1. the Commission must reconsider the application for an exemption in terms of sub-rule 4(a); and
  2. the applicant must repay any annual fee in respect of that application that has been refunded in terms of Rule 8(3);
  1. the Commission must not initiate or accept a complaint against the applicant in respect of the particular practice -
  1. without first withdrawing its advice in terms of paragraph (a); or
  2. for anything done by the applicant between the time the advice was given by the Commission and the date of withdrawing the advice.

(6) If the Commission issues advice to an applicant in terms of section 10(2)(a) and subrule (4)(b) in respect of a particular practice, and the Commission subsequently determines to revoke that advice in terms of section 10(5)(a) - -

  1. The provisions of sub-rule (5) do not apply;
  2. the Commission must give the applicant at least S business days notice of its intention to do so in Form CC 9(3); and
  3. The party who receives a notice of proposed revocation of advice in terms of paragraph (b) may apply to the Tribunal, within S business days after receiving that notice subject to its Rules, for an appropriate order.

(7) If the Commission acts either in terms of sub-rule (5) or (6), it must provide the applicant with the reasons for its action.

22. Procedures related to revoking exemption certificates (Section 10)

(1) If the Commission is contemplating revoking an exemption granted in terms of section 10(2)(b), the Commission must -

  1. advise the firm concerned, in writing, of the intention to do so; and
  2. publish a notice of the proposed revocation in the Gazette.

(2) The Commission may request further information from any person who submits a representation in response to a notice published in terms of sub-rule (1)(b).

(3) After considering any submissions or other information received in relation to the proposed revocation, the Commission must -

  1. either revoke the exemption by issuing to the firm concerned a Notice of Revocation in Form CC 12(1), or confirm the exemption as previously granted, in writing to that applicant;
  2. give written reasons for its decision; and
  3. publish a notice of that decision in the Gazette.

23. Procedures relating to exemption applications (Schedule 1)

(1) Upon receiving an application in terms of Schedule 1, the Commission must publish a notice of the application in the Gazette.

(2) The Commission may request further information from the applicant or any person who submits a representation in response to a notice published in terms of sub-rule (1)

(3) After considering the application and any submissions or other information received in relation to the application, and consulting with the responsible Minister or member of the Executive Council, the Commission must

  1. either grant an exemption in terms of Schedule 1 by issuing an Exemption Certificate in Form CC 10(2) to the applicant, or reject the application by issuing to the applicant a Notice of Rejection of Application in Form CC 11(2);
  2. give written reasons for its decision; and
  3. publish a notice of that decision in the Gazette.

24. Procedures related to revoking exemption certificates (Schedule 1)

(1) If the Commission is contemplating revoking an exemption granted in terms of Schedule 1, the Commission must

  1. advise the professional association concerned, in writing, of the intention to do so; and
  2. publish a notice of the proposed revocation in the Gazette.

(2) The Commission may request further information from the professional association, or any person who submits a representation in response to a notice published in terms of sub-rule (1)(b).

(3) After considering any submissions or other information received in relation to the proposed revocation, and consulting with the responsible Minister or member of the Executive Council, the Commission must -

  1. either revoke the exemption by issuing to the professional association concerned a Notice of Revocation of Exemption in Form CC 12(2), or confirm the exemption as previously granted to the association, in writing;
  2. give written reasons for its decision; and
  3. publish a notice of that decision in the Gazette.

 

Part 6 - Merger Procedures

25. Merger Partial and Participants

(1) In this Part, in respect of any particular merger -

  1. "acquiring firm" means -
  1. any firm that, as a result of a transaction in any circumstances set out in section 12, would acquire or establish control over all significant interests in all or part of the business of another firm or person; and
  2. any other fine that has control over, or significant interest in, all or part of the business of a firm described in sub-paragraph (i); and
  3. any other firm that is controlled by, or a significant interest in which is held by, a fine described in either sub-paragraph (i) or (ii); and
  1. "party to a merger" means an acquiring firm, or a target firm;
  2. "primary acquiring firm" means a firm that meets the definition set out in subparagraph (a)(i);
  3. "primary target firm" means the firm that satisfies the definition in subparagraph (e)(i); and
  4. "target firm" means -
  1. a firm that, as a result of a transaction in any circumstances set out in section 12, either
  1. would become controlled by, or a significant interest in which would be held by, another firm; or
  2. would transfer control of, or a significant interest in, part of its business to another firm; and
  1. any other firm that is controlled by, or a significant interest in which is held by, a business described in sub-paragraph (i).

(2) The following persons may participate in proceedings before the Commission in respect of any merger:

  1. The party to the merger who files the Merger Notice.
  2. Any other party to the merger who indicates an intention to participate when filing a Statement of Merger Information.
  3. Any person who was entitled to receive a notice in teens of section 13(2), and who, within 7 days of receiving that notice, filed a Notice of Intention to Participate in Form CC 5(1).
  4. The Minister, if a Notice of Minister's Intention to Participate in Form CC 5(2) has been filed in respect of that merger.
  5. Any other person whom the Tribunal has ordered to be recognised as a participant.

26. Merger filing requirements

(1) In respect of a particular manger, the primary acquiring firm and the primary target firm must satisfy the notice requirements of section 13(1) and (2) as follows:

  1. The Merger Notice required by section 13(1) may be filed by either the primary acquiring firm or the primary target firm.
  2. Within 3 days after filing the Merger Notice, the party who filed it must file proof of delivery of a copy of the Merger Notice to -
  1. each other party to the merger; and
  2. to any person in respect of that party who is entitled to a copy in terms of section 13(2).
  1. Within 5 days after receiving a copy of a Merger Notice the primary acquiring or primary target firm that did not file the notice, must file -
  1. Proof of delivery of a copy of the Merger Notice to any person in respect of that party who is entitled to a copy in terms of section 13(2); and
  2. a Statement of Merger Information in Form CC 4(2), including either
  1. the firm's consent to be represented in the merger proceedings by the party who filed the Merger Notice; or
  2. a statement that the firm intends to participate in the merger proceedings.

(2) In respect of a particular merger, a party not referred to in sub-rule (1) must satisfy the notice requirements of section 13(1) and (2) as follows:

  1. Within 5 days after receiving a copy of the Merger Notice, each party must file a Statement of Merger Information in Form CC 4(3), including either -
  1. the firm's consent to be represented in the merger proceedings by the party who filed the Merger Notice; or
  2. a statement that the firm intends to participate in the merger proceedings.

(3) After receiving a copy of a Merger Notice -

  1. A party to that merger who complies with the requirements of sub-rule (1) or (2) as applicable will be deemed to have notified the Commission of that merger, unless the Merger Notice is subsequently withdrawn without substitution, or rejected; and
  2. A party to that merger who fails to file a required document in terms of subrule, (1) or (2) as applicable, within the time allowed by that sub-rule is deemed to have consented to be represented in the merger proceedings by the party that filed the merger notice.

(4) A party who has consented, or is deemed to have consented, to be represented in the merger proceedings is bound by the Merger Notice and Statement of Merger Information submitted to the Commission by the party who filed the Merger Notice, as if those documents had been prepared and filed by the consenting party.

(5) When filing its Statement of Merger Information, an acquiring firm, or a target firm, may file with it -

  1. any other document that it is required to file in terms of this Rule; or
  2. any document on behalf of another firm that is also an acquiring firm, or target firm, as the case may be.

(6) In addition to the provisions of sub-rule (5)(b), when filing its Statement of Merger Information, a firm may file with it any document on behalf of another firm with the consent of that firm.

(7) A Merger Notice must be in Form CC 4(1), and must have attached to it a completed Statement of Merger Information in respect of the party filing the notice, in Form CC 4(2).

(8) Upon receiving a Merger Notice, the Commission must determine whether the merger is within the jurisdiction of the Act, and -

  1. if it is,
  1. send a copy of the Merger Notice and Statement of Merger Information to the Minister;
  2. if it is a large merger, send a copy of the Merger Notice to the Tribunal; and
  3. publish a notice of the merger in the Gazette; or
  1. if it is not, -
  1. return the Merger Notice to the party that submitted it, with a letter indicating that the merger is not subject to review in terms of the Act; and
  2. send a copy of that letter to -
  1. every other party to the merger identified in the Merger Notice; and
  2. each person identified in the Merger Notice as being entitled to receive a copy of the Merger Notice in terms of section 13(2).

(9) If, in respect of a particular merger, the Commission issues a letter in terms of subrule (8)(b), no party to that merger is required to file or serve any further documents concerning that merger.

(10) A merger proceeding begins when a party to the merger files a Merger Notice in the appropriate form.

27. Initial review of merger notices

(1) Within 5 days after receiving a Merger Notice and Statement of Merger Information, or a Statement of Merger Information, the Commission, by issuing Form CC 13 to the relevant firm, may - .

  1. advise the firm
  1. that the Notice or Statement was materially incomplete or inaccurate; or
  2. that the firm has failed to deliver a copy of the Merger Notice or other document to another person, as required; and
  1. require the firm to provide -
  1. additional information to complete or correct the document; or
  2. proof of delivery of the relevant document in the prescribed form

(2) If, within 5 days after receiving a notice in terms of sub-rule (1), the firm concerned has not complied with any requirement of the Commission in terms of that notice -

  1. the Commission -
  1. may reject that Notice, or Statement of Merger Information, as the case may be, as of the date it was received by the Commission; and
  2. if it does so, must notify all other participants in those merger proceedings, and the Tribunal if it is a large merger, that the Notice or Statement of Merger Information has been rejected; and
  1. for all purposes of the Act and these Rules, that firm will be deemed not to have notified the Commission of the merger.

28. Withdrawal of merger notices

(1) At any time before the Commission has disposed of a Merger Notice in terms of section 14, a party to the merger may withdraw its Merger Notice and Statement of Merger Information, or its Statement of Merger Information, if filed alone, by filing a Withdrawal Notice in Form CC 6.

(2) If a firm that has withdrawn its documents in terms of sub-rule (1) files a substitute document within 3 days after withdrawing -

  1. The firm must deliver a copy of the substitute document to any person who, in terms of section 13 or these Rules, was entitled to a copy of the original document;
  2. No additional fee is payable for filing that substitute document; and
  3. The period within which the Commission must dispose of the matter in terms of section 14 will continue uninterrupted as if the original document had not been withdrawn.

(3) Rule 26(3)(b), read with the changes required by context, applies to a firm that has withdrawn a document without filing a substitute document within 3 days after withdrawing its original document.

29. Effect of rejection or withdrawal of notice

(1) The Commission must notify in writing all other participants in the proceedings, and the Tribunal if it is a large merger, if a document has been rejected or withdrawn and not substituted.

(2) Upon the rejection, or withdrawal without substitution, of a document, if no Statement of Merger Information remains filed in respect of that merger -

  1. the Merger Notice in respect of the relevant merger is deemed to have been rejected as of the date of the rejection or withdrawal;
  2. each party to the merger is, for all purposes of the Act, in the same position as if they had neva notified the Commission of that mager, unless the proposed merger has been abandoned; and
  3. the Commission may further consider that merger only if a party to the merger subsequently files a new Mager Notice with respect to it; and
  4. if a new Merger Notice is subsequently filed in respect of that merger, the Commission must proceed to consider that merger on the basis of that notice without reference to the notice that has been withdrawn or rejected. n

30. Participation by Minister in Commission merger proceedings

(1) If the Minister decides to participate in any intermediate merger proceedings before the Commission, the Minister must file a Minister's Notice of Intention to Participate in Form CC 5(2) within 10 days after receiving a copy of the Merger Notice from the Commission. -

(2) Upon receipt of a Minister's Notice of Intention to Participate in terms of sub-rule (1), the Commission -

  1. is deemed to have issued an extension certificate for 60 days in terms of section 14(1)(a);
  2. must deliver a copy of the Minister's Notice of Intention to Participate to every other participant; and
  3. must deliver to the Minister a copy of all documents filed in connection with the merger, up to the day on which the Minister's Notice of Intention to Participate was filed.

(3) The Commission must deliver to the Minister any document that is filed in connection with a merger after the Minister's Notice of Intention to Participate was filed.

(4) The Minister may file a concise statement of the public interest grounds on which the Minister relies in respect of a particular intermediate manger, and a statement of the decision, if any that the Minister prefers, at any time between -

  1. The date on which the Minister filed a Notice of Intention to Participate; and
  2. 10 days after receiving advice from the Commission in terms of sub-rule (5), if applicable.

(5) If, in respect of a particular merger the Minister has filed a Notice of Intention to Participate, but has not yet filed a statement in terms of sub-rule (4), the Commission must advise the Minister in writing at the time that it is prepared to make a decision in terms of section 14.

(6) Upon receiving a concise statement from the Minister in terms of sub-rule (4), the Commission must serve a copy of the statement on each other participant in those proceedings, and each participant may file a written response to the statement within 5 days after it has been served on them.

31. Additional information

(1) At any time before disposing of a Merger Notice, the Commission may require any party to the merger to provide additional information in respect of the merger.

(2) Any person, whether or not a party to the merger or a participant in a merger proceeding, may voluntarily file any document, affidavit, statement of the person's views with respect to the merger, or other relevant information.

32. Merger investigations

(1) Upon receipt of a Merger Notice, the Commission may direct an inspector to investigate the merger, and may designate one or more persons to assist the inspector.

(2) The inspector may question any person with knowledge relevant to the merger investigation, and sections 24(4) and 45 (3), (4), and (5), read with changes required by context, apply in respect of any person questioned by the inspector.

33. Intermediate mergers

(1) If the Commission extends, or is deemed to have extended, the time period for considering an intermediate merger, it must serve a copy of the Extension Certificate in Form CC 14 on each participant in the proceedings within 30 days after receiving the Merger Notice.

(2) If the Commission is deemed to have approved a merger in terms of section 14(2), the Commission must -

  1. issue a Clearance Certificate, in Form CC 15, to the Participant who filed the Merger Notice; and
  2. publish a notice of that approval in the Gazette.

(3) After completing its investigation and considering an intermediate merger in terms of section 16, the Commission must-

  1. issue a Clearance Certificate in Form CC 15 or a Notice of Prohibition in Form CC 16 to the participant who filed the Merger Notice;
  2. at the same time make available to each participant a copy of its reasons for decision; and
  3. publish a notice of its decision in the Gazette.

34. Breach of merger approval conditions or obligations

(1) If a firm appears to have breached an obligation that was part of an approval or conditional approval of its merger, the Commission must deliver to that firm a Notice of Apparent Breach in Form CC 19, before taking any action -

  1. in terms of section 14 (5) to revoke that approval or conditional approval; or
  2. in terms of section 61 or 62.

(2) Within 10 days after receiving a Notice of Apparent Breach, a firm referred to in subrule (1) may -

  1. submit to the Commission a plan to remedy the breach; or
  2. request the Competition Tribunal to review the Notice of Apparent Breach on the grounds that the firm has substantially complied with its obligations with respect to the approval or conditional approval of the merger.

(3) If a firm submits a plan to the Commission in terms of sub-rule (2)(a), the Commission may either -

  1. accept the proposed plan; or
  2. reject the proposed plan, and invite the firm to consult with the Commission concerning the apparent breach, with the aim of establishing a plan satisfactory to the commission by which all of the firm's obligations with respect to the approval or conditional approval may be satisfied.

(4) If the Commission accepts a proposed plan, in terms of either sub-rule (3)(a) or (b), the Commission must monitor the firm's compliance with the plan.

(5) The Commission may act in terms of section 14(5) to revoke the approval or conditional approval of a merger referred to in sub-rule (1), or in terms of section 61 or 62, only if

  1. the firm concerned does not respond to the Notice of Apparent Breach within 10 days after receiving it, in the manner anticipated in sub-rule (2);
  2. the firm concerned does not agree to meet, or fails to meet as agreed, with the Commission, as required by sub-rule (3)(b);
  3. the firm and the Commission are unable to agree a plan as contemplated in sub-rule (3)(b);
  4. the firm acts in a manna calculated to frustrate the Commission's efforts to monitor compliance with a plan, as required by sub-rule (4)(a); or
  5. the firm fails to employ its best efforts to substantially comply with a plan established in tams of sub-rule (3).

35. Revocation of approval of intermediate merger

(1) If the Commission is contemplating revoking its own decision to approve or conditionally approve a maga in tams of section 14(5), the Commission must -

  1. if the proposed revocation is based on section 14(5)(c), comply with Rule 34 before taking any further steps in tams of this Rule; and
  2. in any case -
  1. advise any firm concerned, in writing, of the intention to do so; and
  2. publish a notice of the proposed revocation in the Gazette.

(2) The Commission may request further information from any person who submits a representation in response to a notice published in terms of sub-rule (1)(b).

(3) After considering any submissions or other information received in relation to the proposed revocation, the Commission must -

  1. either confirm the approval or conditional approval, as the case may be, in writing, or revoke it by issuing a Notice of Revocation of Merger Decision in Form CC 18 to the primary acquiring firm concerned;
  2. publish a notice of that decision in the Gazette; and
  3. report its decision in writing to each participant in the merger proceedings.

(4) Within 10 days after receiving a Notice of Revocation of Merger Decision in terms of sub-rule (3), the firm concerned may request the Competition Tribunal to review the notice on the grounds that there is no factual basis in terms of section 14(5) for the approval or conditional approval to be revoked.

(5) If no review is applied for in terms of sub-rule (4), or if the Competition Tribunal upholds the Notice of Revocation of Merger Decision, the effect of that notice is -

  1. the Certificate of approval or conditional approval in respect of the relevant merger is deemed to have been rejected as of the date of that Certificate;
  2. each party to the merger is, for all purposes of the Act, in the same position as if they had never notified the Commission of that merger; and
  3. the Commission may further consider that merger only if a party to the merger subsequently files a new Merger Notice with respect to it; and
  4. if a new Merger Notice is subsequently filed in respect of that merger, the Commission must consider that merger on the basis of that new notice without reference to any previous notice filed in respect of it.

36. Large mergers

(1) Upon receiving notice of a large maga the Commission must refer the maga to the Tribunal in teens of section 14(3).

(2) The Commission must submit a recommendation in Form CC 17 in respect of a large maga, with reasons for that recommendation, to the Tribunal and the Minister within -

  1. 60 days after receiving the Merger Notice; or
  2. a longer paiod established by the Tribunal for that merger in Form CT 9, but the Tribunal must not grant an extension of more than 20 days at a time.

(3) The Commission must deliver to each participant in the proceedings a copy of its referral, and its recommendation and reasons.

 

 

COMPETITION COMMISSION RULES

REGULATING THE FUNCTIONS OF THE COMPETITION COMMISSION

Annexure 1 - Tables

Table CCR 1 - Methods and times for delivery of Documents

Nature of Person Method of Delivery Date and Time of Deemed delivery
ANY PERSON By faxing the notice or a certified copy of the document to the person, if the person has a fax number; or On the date and at the time recorded by the fax receiver, unless there is conclusive evidence that it was delivered on a different date or at a different time.
- By sending the notice or a copy of the document by electronic mail, if the person has an address for receiving electronic mail; or On the date and at the time recorded by the computer used by the sender, unless there is conclusive evidence that it was delivered on a different date or at a different time.
- By sending the notice or a certified copy of the document by registered post to the person's last-known address; or On the 70th day following the day on which the notice or document was posted as recorded by a post office, unless there is conclusive evidence that it was delivered on a different day.
- If the person is a participant in any proceedings of the Commission, and is represented by a representative, by delivering the notice, or handing a certified copy of the document to that representative; or On the date and at the time recorded on a receipt for the delivery.
- By any other means authorised by the Tribunal; or In accordance with the order of the Tribunal.
- By any other method allowed for that person in terms of the following rows of this Table. As provided for that method of delivery.

ANY NATURAL PERSON

 By handing the notice or a certified copy of the document to the person, or to any representative authorised in writing to accept service on behalf of the person; or On the date and at the time recorded on a receipt for the delivery.
- By leaving the notice or a certified copy of the document at the person's place of residence or business with any other person who is apparently at least 16 years old and in charge of the premises at the time; or On the date and at the time recorded on a receipt for the delivery.
- By leaving the notice or a certified copy of the document at the person's place of employment with any person who is apparently at least 16 years old and apparently in authority. On the date and at the time recorded on a receipt for the delivery.

THE COMMISSION

 By entering the required information in an electronic representation of that form on the Internet Web site, if any, maintained by the Commission, if the document is a prescribed form; or On the date and at the time recorded by the Commission's computer system, as verified by fax reply to the sender of the information.
- By transmitting the document as a separate file attached to an electronic mail message addressed to the Commission; or On the date and at the time recorded by the Commission's computer system, unless, within 1 business day after that date, the Commission advises the sender that the file is unreadable.
- By sending a computer disk containing the document in electronic form, by registered post addressed to the Commission; or On the date and at the time of delivery of the registered post to the Commission, as recorded by the post office, unless, within 1 business day after that date, the Commission advises the sender that the disk is unreadable.
- By handing the document, or a computer disk containing the document in electronic form, to the Commissioner, or a responsible employee who is apparently in charge of the Commission's office. On the date and at the time noted in a receipt issued by the Commissioner. unless, the document is on a computer disk, and, within 1 business day after that date, the Commission advises the sender that the disk is unreadable.
A COMPANY OR SIMILAR BODY CORPORATE By handing the notice or a certified copy of the document to a responsible employee of the company or body corporate at its registered office or its principal place of business within the Republic; or On the date and at the time recorded on a receipt for the delivery.
- If there is no employee willing to accept service, by affixing the notice or a certified copy of the document to the main door of the office or place of business. On the date and at the time sworn to by affidavit of the person who affixed the document, unless there is conclusive evidence that the document was affixed on a different date or at a different time.
A TRADE UNION By handing the notice or a certified copy of the document to a responsible employee who is apparently in charge of the main office of the union or for the purposes of section 13(2), if there is a union office within the magisterial district of the firm required to notify its employees in terms of these Rules, at that office. On the date and at the time recorded on a receipt for the delivery.
- If there is no person willing to accept service, by affixing a certified copy of the notice or document to the main door of that office. On the date and at the time sworn to by affidavit of the person who affixed the document, unless there is conclusive evidence that the document was affixed on a different date or at a different time.
EMPLOYEES OF FIRM By fixing the notice or certified copy of the document, in a prominent place in the workplace where it can be easily read by employees. On the date and at the time sworn to by affidavit of the person who affixed the document, unless there is conclusive evidence that the document was affixed on a different date or at a different time.

A PARTNERSHIP, FIRM OR ASSOCIATION

By handing the notice or a certified copy of the document to a person who is apparently in charge of the premises and apparently at least 16 years of age, at the place of business of the partnership, firm or association; or On the date and at the time recorded on a receipt for the delivery.
- If the partnership, firm or association has no place of business, by handing the notice or a certified copy of the document to a partner, the owner of the firm, or the chairman or secretary of the managing or other controlling body of the association, as the case may be. On the date and at the time recorded on a receipt for the delivery.
A MUNICIPALITY By handing the notice or a certified copy of the document to the town clerk, assistant town clerk or any person acting on behalf of that person. On the date and at the time recorded on a receipt for the delivery.
A STATUTORY BODY OTHER THAN THE COMMISSION By handing the notice or a certified copy of the document to the secretary or similar officer or member of the board or committee of that body, or any person acting on behalf of that body. On the date and at the time recorded on a receipt for the delivery.
THE STATE OR A PROVINCE By handing the notice or a certified copy of the document to a responsible employee in any office of the State Attorney. On the date and at the time recorded on a receipt for the delivery.

 

Table CCR 2 - Notices and Applications

Section # Purpose of notice or Application Form # Conditions
44 Complaint CC 1 -
Rule 17 Declaration of material interest CC 2 -
10 Application for Exemption from Chapter 2 CC 3 (1) Payment of a filing fee.
10 Application for Exemption for Professional Association Rules CC 3 (2) Payment of a filing fee.
13 Merger Notice CC 4 (1) Payment of a filing fee calculated in accordance with Rule 8(5).

Must have Form CC 4(2) (Statement of Merger Information) attached.
13 Statement of Merger Information CC 4 (2) Must be filed by the Primary firms involved in the merger.
13 Statement of Merger Information CC 4 (3) Must be filed by parties other than the Primary firms.
Rule26 Notice of Intention to Participate CC 5 (1) -
18 Notice of Minister's Intention to Participate CC 5 (2) -
Rule 25 Withdrawal Notice CC 6 -
Rule 13 Claim that information is confidential CC 7 Must be filed with the information to which it relates.

 

Table CCR 3 - Certificates and Notices of Referral

Section # Purpose of Certificate or Notice Form # Conditions
50 Notice of Non-referral of Complaint CC 8 -
10 Notice of Advice Concerning a Prohibited Practice CC 9 (1) -
Rule 21(5) Withdrawal of Advice CC 9 (2) -
Rule 21(6) Revocation of Advice CC 9 (3) -
10 Exemption Certificate (Chapter 2) CC 10 (1) -
Schedule 1 Exemption Certificate (Schedule 1) CC 10 (2) -
10 Notice of refusal to grant exemption (Chapter 2) CC 11 (1) -
Schedule 1 Rejection of Application (Schedule 1) CC 11 (2) -
10 Notice of Revocation (of Chapter 2 Exemption Certificate) CC 12 (1) -
Schedule 1 Notice of Revocation (of Schedule 1 Exemption Certificate) CC 12 (2) -
Rule 27 Notice of incomplete or inaccurate Merger Notice CC 13 -
14(1) Extension Certificate CC 14 -
14(1) Merger Clearance Certificate CC 15 May be used either with or without conditions.
14(1) Notice of Prohibition of Merger CC 16 -
14(3) Referral of Large Merger to Minister and Tribunal, with recommendation CC 17 -
14(5) Notice of Revocation of Merger Decision CC 18 -
Rule 34 Notice of Apparent Breach CC 19 -
45(4) Commission Summons CC 20 -
49(4) Receipt for items removed during search CC 21 Must be distinctively numbered and produced in duplicate,
24(3) Appointment of Inspector CC 22 May be supplemented by a card in a smaller size.

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