The pilot connects self-represented respondents with volunteer lawyers at no cost
Advisors who land in front of a CIRO disciplinary panel without a lawyer now have somewhere to turn for free procedural help.
The Canadian Investment Regulatory Organization has launched a pilot Hearings Assistance Program (HAP) that connects self-represented respondents in its disciplinary and regulatory proceedings with volunteer lawyers at no cost.
The regulator runs the program through its Hearings Office in partnership with the National Self-Represented Litigants Project (NSRLP), which handles intake, matches respondents with lawyers, and administers the program.
Respondents who represent themselves often struggle to navigate complex proceedings and may fear facing them alone, which can affect their ability to defend themselves adequately.
The Hearings Assistance Program for self-represented respondents marks "an important development in strengthening the integrity of CIRO's disciplinary process," said Tatsiana Okun, associate general counsel at CIRO.
It offers external, independent support to help respondents navigate complex proceedings, she said.
In the program’s initial period, the volunteer lawyers come from Blake, Cassels & Graydon LLP (Blakes) and have experience in regulatory matters and securities litigation.
They focus on procedural issues that arise during initial appearances and prehearing conferences, the regulator said, and their help may extend to some preliminary motions, settlement approval hearings, certain sanctions, and submissions on costs.
At their discretion, the lawyers may advise on substantive matters, but respondents should not expect this.
CIRO cautioned that the number of volunteer lawyers and their capacity for pro bono work are limited, and that a lawyer may face a conflict of interest in a given case.
Legal assistance is therefore not guaranteed, the regulator said, and respondents who cannot be matched are encouraged to seek representation elsewhere.
To take part, a respondent completes an online application, after which the NSRLP makes contact within a week.
The NSRLP introduces a suitable lawyer after confirming there are no conflicts and weighing the lawyer’s expertise and availability.
Those discussions stay confidential, and the lawyer accepts instructions only from the respondent.
Neither the Hearings Office nor the NSRLP takes part in the case or learns what the two discuss, apart from administering the program.
The Hearings Office, which oversees the HAP, operates separately from both CIRO Enforcement and the respondents.
The program marks "a meaningful commitment by CIRO to strengthen procedural fairness," said Jennifer Leitch, director of the NSRLP, extending access to justice through independent support nationwide.
