Best Practices for Electronic Proceedings 

Due to the COVID-19 pandemic, in-person hearings at IIROC have been postponed or converted into electronic hearings, proceeding by either telephone or videoconference. To provide guidance on the conduct of electronic hearings, IIROC has issued the IIROC Hearing Committee Best Practices for Electronic Proceedings. The Best Practices also outline the minimum technical requirements for electronic proceedings.

All participants in IIROC electronic proceedings are expected to be tolerant and flexible regarding technical difficulties they and others may experience through the process, willing to learn and adapt to new and evolving practices, and prepared to participate and cooperate in good faith in preparation for and during the hearings. At the start of an electronic hearing and throughout the proceeding, a hearing panel may remind participants about the Best Practices and provide further guidance as may be appropriate in each particular case.  

More information on proceedings at IIROC can be found in the IIROC Consolidated Enforcement, Examination and Approval Rules and the IIROC Guide to Enforcement Proceedings.