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:
December 15, 2023, 10:00 a.m. EST
HSBC Securities (Canada) Inc.
Ontario
Via Videoconference
Register to attend a hearing
December 18-21, 2023, 10:00 a.m. EST
Robert Weston Crocker
Ontario
Via Videoconference and In-Person
Register to attend a hearing
December 20, 2023, 10:00 a.m. PST
Canaccord Genuity Corp.
British Columbia
Via Videoconference
Register to attend a hearing
January 9, 2024, 10:00 a.m. EST
Clarus Securities Inc. and James Christodoulis
Ontario
Via Videoconference
Register to attend a hearing
February 7, 2024, 9:00 a.m. EST
Lucie Roland
Québec
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
June 3-7, 10-12, 2024, 10:00 a.m. PST
Teymur Englesby and Cale Nishimura
British Columbia
Via Videoconference and 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
Welcome to CIRO.ca!
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
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