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Procedural Rules & Guidance
Hearing panels may hear cases under:
CIRO Enforcement proceedings are governed by the IDPC Rules 8000, Part B of the Mutual Fund Dealer Rules of Procedures and Rule 7.3 of the MFD Rules.
Appearances and representation in a hearing are covered under IDPC Rule 8405 and Rule 3 of the Mutual Fund Dealer Rules of Procedure.
Service and filing of documents are covered under IDPC Rule 8406 and Rule 4 of the Mutual Fund Dealer Rules of Procedure.
Forms of hearing (oral, electronic or written) are listed under IDPC Rule 8409 and Rule 5 of the Mutual Fund Dealer Rules of Procedure.
Requirements for decisions issued by hearing panels can be found under IDPC Rule 8410 and Rule 7.3.7 of the MFD Rules.
Regulatory review proceedings are governed by IDPC Procedural Rules 9000 and Rule 7.5 of the MFD Rules.
For relevant procedural Guidelines and Policies, please see:
In this section: