How to request a hearing date
To request a hearing date, be it a settlement hearing, prehearing conference, motion, liability or penalty hearing, the party making a request needs to fill out the Hearing Date Request Form (pdf) and send it to the NHO at [email protected].
How to respond to the allegations
A Respondent must serve Enforcement Staff and file a Response with the NHO within 30 days from the date of service of a Notice of Hearing.
A Response must contain:
- the facts the Respondent admits,
- the facts the Respondent denies and the ground for denial, and
- all other facts the Respondent relies on.
How to file documents
To file a document, it has to be first served on the opposing party. With a proof of service, the document can be emailed to the NHO at [email protected] for filing. Documents may also be filed by courier or mail delivered to the NHO at:
Investment Industry Regulatory Organization of Canada
National Hearing Officer
Suite 2000, 121 King Street West
Toronto, Ontario, M5H 3T9
All documents to be used at a hearing should be uploaded by the parties to Case Center. The documents uploaded to Case Center are not considered to be “filed” unless specifically requested by the party and accepted for filing by the NHO.