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.

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).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.