Hearing Record

Parties to enforcement proceedings under review by a securities regulatory authority and members of the public may request a copy of the CIRO Hearing Record under section 8431 of the Investment Dealer and Partially Consolidated Rules and section 17.1 of the Rules of Procedure by submitting the Hearing Record Request Form (PDF) with the Hearing Office 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.

Depending on the volume of the requested record, reasonable costs and other charges may apply.

The Hearing Record will be redacted in accordance with the Policy regarding the use, disclosure, and redaction of personal information in disciplinary and regulatory proceedings (PDF).