Decisions

Following a hearing in an enforcement proceeding, the hearing panel provides written reasons for its findings on liability or decision on sanction. This page contains panel findings and decisions relating to enforcement proceedings.

Effective March 27, 2020, if a person is the subject of certain orders or settlement agreements issued by another securities regulator in Canada, that order or settlement is automatically in effect against the person in British Columbia, without notice to the person and without an opportunity to be heard. For more information about the types of orders and settlements that are automatically in effect in BC, see Automatic Reciprocal Orders.