Enforcement Document Production Guide

Overview

The Document Production Guide (Guide) sets out CIRO Enforcement Staff’s expectations for producing documents and records in response to a Request for Information issued under the Investment Dealer and Partially Consolidated Rule 8100 or Mutual Fund Dealer Rule 6, or information provided voluntarily.

The Guide is effective May 1, 2026.

Purpose of the Guide

The Guide assists Dealer Members and Regulated Persons in preparing and submitting documents, records, and electronically stored information in compliance with CIRO requirements. Following the Guide preserves data and metadata to maintain integrity and reliability of records, minimizes processing delays by reducing the time Dealer Members and Regulated Persons spends on clarifications and resubmissions, and enhances the efficiency and integrity of the investigation process, ensuring timely location, search and analysis of evidence.

What the Guide Covers

• Standardized practices for organizing and delivering records securely
• Guidance on handling privileged documents including the preparation of privilege logs and applying redactions correctly to protect sensitive information
• Records must be produced in their native formats unless there is prior agreement with Enforcement staff to use alternative formats or methods
• Additional technical requirements for electronic records, such as metadata preservation and file integrity
• Specifications for eDiscovery productions, including load files, Bates numbering and folder structures

To view the complete Enforcement Document Production Guide, please click the link below:

View the complete Enforcement Document Production Guide.

For questions or assistance, please contact [email protected].