The Canadian Investment Regulatory Organization (CIRO) has launched a pilot Hearings Assistance Program (HAP) to support self-represented respondents (SRRs) on procedural aspects of CIRO proceedings. In partnership with the National Self-Represented Litigants Project (NSRLP), the program aims to improve access to justice for self-represented respondents who would otherwise be compelled to navigate the process on their own.
Program Details and Partnership
Respondents in CIRO’s proceedings who represent themselves often struggle to navigate complex legal proceedings and may fear navigating them alone, which can impact their ability to defend themselves adequately. The HAP connects SRRs with volunteer lawyers who will offer procedural legal guidance and support to SRRs.
“The Hearings Assistance Program for self-represented respondents is an important development in strengthening the integrity of CIRO’s disciplinary process because it will provide external and independent support to these respondents, helping them navigate the complexities of CIRO’s disciplinary proceedings,” said Tatsiana Okun, Associate General Counsel, CIRO.
Role of the National Self-Represented Litigants Project
The NSRLP develops resources, undertakes research and advocates for systemic change in the Canadian justice system to better meet the needs of self-represented litigants participating in a broad range of courts and administrative tribunals across Canada. Through collaboration among self-represented litigants, lawyers, judges, and court staff, the NSRLP strives to create a more responsive and inclusive legal environment.
“We are pleased to support self-represented respondents in CIRO’s proceedings, facilitating support for these individuals and ensuring assistance with procedural matters,” said Jennifer Leitch, Director of the NSRLP. “This is a meaningful commitment by CIRO to strengthen procedural fairness and provide individuals with access to justice through independent, external support on a national scale.”
Training and Program Administration
The NSRLP will collaborate with CIRO’s Hearings Office on training volunteer lawyers for their work with self-represented respondents engaged in CIRO’s proceedings. They will also connect self-represented respondents with potential volunteer lawyers, administer the program and report on outcomes.
CIRO Disciplinary Hearings and Mandate
One of the ways that CIRO upholds its mandate to protect investors and the capital markets is through disciplinary powers to investigate and prosecute wrongdoers and impose sanctions and fines where wrongdoing is found. Allegations are brought forward by CIRO Enforcement before hearing panels comprised of independent Hearing Committee members. CIRO’s hearing process is designed to be independent, neutral and impartial. Hearing panels are typically comprised of a three-person panel of external experts, usually including a retired judge or senior member of the legal profession and two senior industry professionals.
