Disciplinary and other regulatory matters brought by Enforcement against individual advisors and firms are heard by panels composed of Hearing Committee members (Hearing Panels). Hearing Committees are composed of independent adjudicators, who hear cases in all 10 Districts.
Updates
In May 2022, Hearing Committees resumed hearing certain disciplinary matters in-person and hybrid hearings. Until further notice, in-person attendances are limited to the hearing participants and their counsel. Members of the public and media are able to observe public proceedings remotely (via Webex) by contacting [email protected]. For more information, consult the In-Person and Hybrid Hearings Protocol (pdf).
Hearing Calendar:
September 25-29, 2023, 10:00 a.m. EST
Michael White
Ontario
Via Videoconference
Register to attend a hearing
September 28, 2023, 10:00 a.m. MST
Zhiping (Davis) Dai
Alberta
Via Videoconference
Register to attend a hearing
October 19, 2023, 10:00 a.m. PST
Domino Au-Young
British Columbia
Via Videoconference
Register to attend a hearing
October 23-27, 2023, 10:00 a.m. PST
Donald Warren Metcalfe
British Columbia
Via Videoconference and In-Person
Register to attend a hearing
October 26, 2023, 9:30 a.m. EST
Lucie Roland
Ontario
Via Videoconference
Register to attend a hearing
April 29-May 3, 2024, 10:00 a.m. PST
Randy Bryan Hildebrandt
British Columbia
In-Person
Register to attend a hearing
Contact
The National Hearing Officer (NHO) administers the hearing process, including the selection of Hearing Panels, care and distribution of hearing documents, and maintenance of the Hearing Record.
The NHO is independent of Enforcement staff and acts as the liaison between the parties and the Hearing Panels. Outside of a hearing, all communications between the parties and the adjudicators must go through the NHO.
The NHO can be reached at [email protected] or 416-943-5846.
The NHO mailing address is:
Investment Industry Regulatory Organization of Canada
National Hearing Officer
Suite 2000, 121 King Street West
Toronto, Ontario, M5H 3T9