Hearing Forms

Request a Hearing Date

Parties to Enforcement proceedings may request a hearing date by filing the Hearing Date Request Form (pdf) with the National Hearing Officer (NHO) at [email protected].

The same form is used to request a hearing date for an initial appearance, prehearing conference, motion, application, settlement hearing, liability hearing, sanction hearing or review hearing.

A prehearing conference can be used as an opportunity to discuss settlement or to set or amend a timetable for the steps to take place before the hearing.

Request the Hearing Record

Parties to Enforcement proceedings under review by a securities regulatory authority and members of the public may request a copy of the Hearing Record under Rule 8431 by submitting the Hearing Record Request Form (pdf) with the NHO at [email protected].

The Hearing Record may be provided only after the completion of a hearing in which a final decision was issued by a Hearing Panel.

The Hearing Record may be redacted in accordance with the Policy regarding the use, disclosure, and redaction of personal information (pdf).

Request to Attend a Hearing

At the present, members of the public and media are able to observe public proceedings remotely (via Webex). For more information consult the In-Person and Hybrid Hearings Protocol (pdf).

To observe a hearing that is open to the public, please send a request to attend to the NHO at [email protected].

Summons a witness

At any stage of a proceeding, a party may request a Hearing Panel to exercise its authority under Rule 8208 to require a person to attend and give evidence or produce documents at a hearing.

If the request is granted by a Hearing Panel, a Summons to a Witness (pdf) may be issued.

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.