Hearings

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:

January 31-February 1, 2023, 10:00 a.m. PST
Dominic Spooner
British Columbia
Via Videoconference and In-Person
Register to attend a hearing

June 20-23, 2023, 10:00 a.m. PST
Robert Barber
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

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.