Disciplinary and other regulatory matters brought by CIRO Enforcement against individual advisors and firms are heard by panels composed of Hearing Committees’ members (Hearing Panels). Hearing Committees’ members are independent adjudicators, who hear and decide on CIRO disciplinary and regulatory matters in 10 Districts.
The Hearings Office plays a neutral role in the hearing process. It administers all hearing related matters, including the selection of hearing panels, care and distribution of hearing documents, and maintenance of hearing records.
The Hearings Office is independent of parties to proceedings, including Enforcement Staff, and acts as the liaison between the parties and hearing panels. Outside of a hearing room, all communications between the parties to proceedings and hearing panels must go through the Hearings Office.
General questions relating to the hearing process can be answered by members of the Hearings Office. The Hearings Office does not provide legal advice.
The Hearings Office can be reached at [email protected] or 416-943-5846.
The Hearings Office’s mailing address is:
Canadian Investment Regulatory Organization
Hearings Office
Suite 2600, 40 Temperance Street
Toronto, Ontario, M5H 0B4
Updates
CIRO Hearing Committees hear disciplinary matters in-person, videoconference and hybrid hearings. Members of the public and media can observe public proceedings by contacting the Hearings Office at [email protected] or filling out this questionnaire. Please refer to the Observer Guidelines.
Hearing Calendar
| In the Matter of | Will Take Place | Date and Time |
|---|---|---|
| Scotia Securities Inc. | Ontario – Via Videoconference – Register to attend a hearing | August 6 at 10:00 a.m. EST |
| Angie Lau | Ontario – Via Videoconference – Register to attend a hearing | August 7 at 10:00 a.m. EST |
| Haimeng Wang | British Columbia – Via Videoconference – Register to attend a hearing | August 18-20 at 10 a.m. PST |
| Neilay Modi | Ontario – Via Videoconference – Register to attend a hearing | August 21 at 10:00 a.m. EST |
| Abid Hossain | Ontario – In-Person – Register to attend a hearing | September 29, 30 & October 1 at 10:00 a.m. EST |
| Ronald Aleri Scott | Alberta – Via Videoconference – Register to attend a hearing | October 7 at 10:00 a.m. MST |
| Michael Alan Kemp and Jessica Anne Kemp | Ontario – In-Person – Register to attend a hearing | October 19-23 at 10:00 a.m. EST |
| Alain Georges Cogan | Ontario – In-Person – Register to attend a hearing | November 2-6 at 10:00 a.m. EST |
| Tumer Salih Bahcheli | Alberta – In-Person – Register to attend a hearing | November 4-6 & 9-10 at 10:00 a.m. MST |
| James Hartwell | Alberta – In-Person – Register to attend a hearing | November 16-20 at 10:00 a.m. MST |
| Mazhar Hussain Malik | Ontario – In-Person – Register to attend a hearing | November 16 - 20, 23 and 24 at 10:00 a.m. EST |
| Osama Navaid | Ontario – In-Person – Register to attend a hearing | November 24-26 at 10:00 a.m. EST |
| Donald Edward McMillan | British Columbia – Via Videoconference – Register to attend a hearing | November 25 at 10:00 a.m. PST |
| Milan Sharma | Québec – In-Person – Register to attend a hearing | January 11-15, 2027 at 10:00 a.m. EST |
| Roberto Daniel Chu | British Columbia – In-Person – Register to attend a hearing | January 25-29, 2027 at 10:00 a.m. PST |
Enforcement Proceedings
You may search all CIRO ongoing and closed enforcement cases under Enforcement Proceedings.