Hearings

Disciplinary and other regulatory matters brought by CIRO Enforcement against individual advisors and firms are heard by panels composed of Hearing Committees’ members (Hearing Panels). Hearing Committees’ members are independent adjudicators, who hear and decide on CIRO disciplinary and regulatory matters in 10 Districts.

The Hearings Office plays a neutral role in the hearing process. It administers all hearing related matters, including the selection of hearing panels, care and distribution of hearing documents, and maintenance of hearing records.

The Hearings Office is independent of parties to proceedings, including Enforcement Staff, and acts as the liaison between the parties and hearing panels. Outside of a hearing room, all communications between the parties to proceedings and hearing panels must go through the Hearings Office.

General questions relating to the hearing process can be answered by members of the Hearings Office. The Hearings Office does not provide legal advice.

The Hearings Office can be reached at hearings@ciro.ca or 416-943-5846.

The Hearings Office’s mailing address is:

Canadian Investment Regulatory Organization
Hearings Office
Suite 2600, 40 Temperance Street
Toronto, Ontario, M5H 0B4

Updates

CIRO Hearing Committees hear disciplinary matters in-person, videoconference and hybrid hearings. Members of the public and media can observe public proceedings by contacting the Hearings Office at hearings@ciro.ca or filling out this questionnaire. Please refer to the Observer Guidelines.

Hearing Calendar

Enforcement Proceedings

You may search all CIRO ongoing and closed enforcement cases under Enforcement Proceedings.