Hearing Panels hear cases under:

IIROC Rules
(in effect as of January 1, 2022, replacing the IIROC Dealer Member Rules and incorporating the Consolidated Enforcement, Examination and Approval Rules and Continuing Education Rules)

UMIR
The Universal Market Integrity Rules (UMIR) set out the requirements applicable to IIROC Participant Dealer Members, Access Persons and Marketplaces for securities related trading activities on all marketplaces that IIROC regulates.

Enforcement proceedings are governed by Procedural Rules – 8000

Appearance and representation in a hearing is covered under Rule 8405.

Service and filing of documents is covered under Rule 8406.

Forms of hearings (oral, electronic or written) are listed under Rule 8409.

Requirements for decisions from Hearing Panels can be found under Rule 8410.

Regulatory review proceedings are governed by Procedural Rules 9000.

For relevant procedural Guidelines and Policies, please see:

• Sanction Guidelines (pdf)
• Policy regarding the use, disclosure, and redaction of personal information (pdf)
• Best Practices for the Use of Case Center
• Hearing Committee Best Practices for Electronic Proceedings (pdf)