CIRO’s Hearings Assistance Program

The Hearings Assistance Program (HAP) aims to enhance access to justice for self-represented respondents (SRRs) involved in CIRO’s disciplinary and regulatory proceedings. The program connects eligible respondents with external volunteer lawyers through a collaboration of the Hearings Office with the National Self-Represented Litigants Project (NSRLP).

By providing legal guidance offered by external independent lawyers free of charge, the program helps self-represented respondents in CIRO proceedings navigate the process more effectively, participate more actively and with greater confidence. The HAP helps self-represented respondents manage the complexities of CIRO proceedings by reducing delays and procedural errors, improving engagement, and reducing common barriers.

The program is overseen and administered by the Hearings Office in collaboration with the NSRLP. The Hearings Office administers hearings, which is separate and independent from CIRO’s investigative and enforcement functions. The Hearings Office does not provide legal advice or representation to any party, nor does it select or assign volunteer lawyers who participate in the HAP.

The NSRLP is an organization dedicated to advocating for and empowering self-represented litigants within the Canadian legal system. It manages the HAP intake to assist eligible respondents in CIRO’s proceedings, connects them with volunteer lawyers, and handles the program's administrative functions. In the initial period of the HAP, the volunteer lawyers are from Blake, Cassels & Graydon LLP (Blakes) and have experience in regulatory matters and securities litigation. Blakes is a national business law firm with a longstanding commitment to providing pro bono legal services and increasing access to justice.

Scope of the program

Volunteer lawyers in the program assist self-represented respondents in CIRO’s disciplinary and regulatory proceedings with the focus on procedural issues that arise during initial appearances and prehearing conferences. The assistance may also include guidance on some preliminary motions, settlement approval hearings, certain sanctions and submissions on costs. At the discretion of the volunteer lawyers, their assistance may include legal advice on substantive matters, but self-represented respondents should not expect this.

The number of volunteer lawyers participating in the HAP and their capacity to provide pro bono services are limited. Volunteer lawyers may also have a conflict of interest that prevents them from assisting in a specific case. Legal assistance is therefore not guaranteed. If there is no volunteer lawyer able to assist a self-represented respondent through the HAP, they are encouraged to seek legal representation or advice from elsewhere.

How the program works

If you are a self-represented respondent in a CIRO proceeding and would like guidance from a volunteer lawyer on procedural matters in your case, you may initiate a request by completing this online Application (PDF).

Once the form is completed and submitted, the NSRLP will contact you within a week to commence the process. The NSRLP will introduce you to a suitable volunteer lawyer after confirming there are no conflicts of interest for a lawyer to act on your behalf and considering factors such as the lawyer's expertise and availability.

If a volunteer lawyer is available, they will reach out to you directly to discuss how they can assist you. The potential scope of pro bono assistance will be determined at that time. Your discussions with the volunteer lawyer are fully confidential. Volunteer lawyers may discuss your case with other lawyers working as a team within the firm assisting you. The lawyer(s) assisting you will accept instructions only from you. Except for the purposes of administering and receiving feedback on the program, the Hearings Office at CIRO or the NSRLP will not be involved in your case and will not know what you have discussed with the volunteer lawyer.

For information on CIRO’s proceedings for self-represented respondents, please see Hearings/Self-Represented Respondents.