Observer Guidelines for CIRO Hearings

Members of the public may attend hearings commenced by the Canadian Investment Regulatory Organization (CIRO) as observers. An observer is anyone who attends a hearing but does not participate.

The observer guidelines outline what you can expect as an observer at a public hearing and what you may and may not do. It is important to follow these guidelines. This will help to ensure that parties appearing before a CIRO hearing panel get a fair and efficient hearing.

You may request to attend a hearing as an observer, by completing this form.

General Requirements

To attend a CIRO hearing (in person or virtually), you must agree to follow these rules:

• Register in advance by completing the required form.
• Arrive in the hearing room or join the virtual hearing room 5–10 minutes early.
• Remain silent and respectful throughout the hearing.
• Follow all instructions from the registrar, presiding member or hearing panel.

Virtual Hearing Conduct

When attending virtually:

• Turn off your camera and microphone for the entire session, including breaks.
• Do not use chat, share, or other platform functions.
• Do not record, photograph, or take screenshots of the hearing.
• Use your full name and role on Webex when joining (e.g., Jane Doe – Observer).
• You may be removed if you join late or violate any rules.

In-Person Hearing Conduct

For in-person CIRO hearings, you may request to attend the hearing in person or virtually by videoconference. Every effort will be made to accommodate the preferred method of observing a hearing. However, the approved method of observing a hearing may differ from that requested due to space limitations, safety/security requirements or operational considerations.

CIRO in-person hearings are held in a fragrance-free environment.

When attending in person:

• Remain seated in the designated observer area.
• Limit your comings and goings during the hearing. There are scheduled morning and afternoon breaks and an approximately one-hour break for lunch.
• No food or drink is allowed in the hearing room.
• Silence all electronic devices before entering.
• Recording devices and personal computers are not permitted.

Confidentiality and Privacy

• Respect confidentiality orders issued by the hearing panel.
• Some or all of the hearing may be closed to observers at the hearing panel’s discretion.
• Do not disclose or publish any confidential information.

Enforcement

Failure to follow these guidelines may result in removal from the hearing by the Chair or presiding member.

Contact

If you have any questions regarding the observer guidelines or need assistance, please contact the hearings office at:

Email: hearings@ciro.ca
Phone: 416-593-5846