Hearing Schedule

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution; Misrepresentation

Panel:

James Kershaw - Chair, Gordon Johnson, Karen Keilty

Note:

The executive director issued a notice of hearing on February 20, 2024. The Commission held a hearing management meeting on December 3, 2024, and will hold a further meeting on April 23, 2025 at 9:00am. The hearing is scheduled to start on June 3, 2025.

Hearing Type:

Review

Panel:

James Kershaw - Chair, Noordin Nanji, Marion Shaw

Note:

On February 21, 2025, pursuant to s.28 of the Securities Act, the applicant requested a review of the CIRO decision 2025 CIRO 05, dated January 23, 2025. The Commission held a hearing management meeting on March 12, 2025. The Commission will hear preliminary applications on April 24, 2025 at 10:00am.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Illegal distribution; Misrepresentation

Panel:

Marion Shaw - Chair, Gordon Johnson, Karen Keilty

Note:

On November 17, 2023, the Executive Director issued a notice of hearing. On February 28, 2025, the Executive Director discontinued proceedings against Clayton Leigh Moore. The Commission held a hearing management meeting on March 13, 2025. The hearing is scheduled to start on April 28, 2025.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Deborah Armour - Chair, Audrey T. Ho, Karen Keilty

Note:

The Commission held a hearing management meeting on December 17, 2024, and will hold further meetings on April 29 and September 3, 2025, at 9:00am by video conference. On December 17, 2024, the Commission adjourned the hearing from March 3, 2025 to October 16, 2025.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest

Note:

On March 26, 2025, the Executive Director issued a notice of hearing. The Commission will set a date for the hearing on May 6, 2025 at 9:00am.

Hearing Type:

Enforcement

Allegations:

False or misleading statements

Panel:

Marion Shaw - Chair, Judith Downes, Warren Funt

Note:

On October 1, 2024, the panel adjourned the hearing generally. The Panel issued its Reasons on November 6, 2024. Oral cross-examination of witnesses will be heard on May 9, 2025 and May 30, 2025, at 10:00am. The hearing will otherwise be conducted in writing.

Hearing Type:

Enforcement

Allegations:

Failed to comply with a summons or demand

Panel:

Deborah Armour - Chair, Gordon Johnson, Karen Keilty

Note:

On June 26, 2024, the executive director issued a notice of hearing. The Commission held a hearing management meeting on March 7, 2025 and will hold a further hearing management meeting on May 16, 2025 at 8:30am by video conference. The hearing is scheduled to commence on August 11, 2025.

Hearing Type:

Enforcement

Allegations:

Failed to comply with a summons or demand

Panel:

Gordon Johnson - Chair, Warren Funt, Jason Milne

Note:

On April 17, 2024, the Executive Director issued a notice of hearing. The evidentiary hearing has concluded. The parties have until May 7, 2025 to file written submissions on liability. The panel will hear oral submissions on liability on Tuesday, May 27, 2025 at 10:00am.

Hearing Type:

Enforcement

Allegations:

Trading without registration; Advising without registration

Panel:

Marion Shaw - Chair, Deborah Armour, Karen Keilty

Note:

On December 18, 2022, the executive director issued a notice of hearing. The Commission will hold a hearing management meeting on June 4, 2025, at 9:00am. The hearing is scheduled to commence on September 8, 2025.

Hearing Type:

Enforcement

Allegations:

Illegal distribution; Trading without registration

Panel:

Judith Downes - Chair, Warren Funt, Jason Milne

Note:

On October 8, 2024, the executive director issued a notice of hearing. The Commission will hold a hearing management meeting on June 18, 2025 at 9:00am, by video conference. The hearing is scheduled to start on September 29, 2025.

Hearing Type:

Enforcement

Allegations:

Failed to comply with a summons or demand

Panel:

Gordon Johnson - Chair, James Kershaw, Jason Milne

Note:

On October 3, 2024, the executive director issued a notice of hearing. On October 3, 2024, Birdsall applied for various orders and on March 20, 2025 he filed an amended notice of application. On December 23, 2024, Birdsall filed a notice of application & constitutional question. The Commission will hold a hearing commencing July 14, 2025.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Insider trading

Panel:

Gordon Johnson - Chair, Warren Funt, Jason Milne

Note:

On October 16, 2023, the BC Court of Appeal granted leave to appeal from 2023 BCSECCOM 405 and stayed the liability proceedings in this matter pending the final disposition of the appeal or further order of that Court. On November 15, 2024, the Court of Appeal allowed the appeal and remitted the matter to a newly constituted hearing panel of the Commission to proceed with a hearing to determine the abuse of process applications in accordance with the Court's reasons. The Commission will hear the applications commencing December 8, 2025. On January 29, 2025, the respondents filed notices of application for recusal and the panel issued its decision on April 1, 2025. On March 21 and 24, 2025, the respondents filed notices of application for a permanent stay as an abuse of process.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, James Kershaw, Jason Milne

Note:

On July 26, 2024, the applicant applied under section 171 of the Securities Act for certain orders. This matter is proceeding in writing and in camera. The panel issued its Ruling and Reasons for Ruling on October 24, 2024 with respect to some of the orders sought. On December 20, 2024, the applicant filed a Notice of Application for leave to appeal and a stay of the panel's ruling with the BC Court of Appeal.

Hearing Type:

Enforcement

Allegations:

Trading without registration

Panel:

James Kershaw - Chair, Karen Keilty, Marion Shaw

Note:

On October 24, 2023, the Executive Director issued a notice of hearing. On October 25, 2024, the Commission adjourned the hearing. A hearing management meeting was held on November 8, 2024. The panel's Reasons for Ruling - Extension of Temporary Orders was issued on March 18, 2025. The hearing will proceed in writing. The parties' submissions are due by October 3, 2025. On October 28, 2024 the Executive Director entered into a settlement agreement with Tajkarim Mohamed and discontinued the proceedings against him, Lacie Holdings Limited and Space Cloud Empire Limited, formerly known as CE Star Holdings Limited.

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading

Panel:

Gordon Johnson - Chair, Judith Downes, Jason Milne

Note:

The hearing has concluded. The panel heard oral submissions on liability. The panel's findings are due May 26, 2025.

Hearing Type:

Enforcement

Allegations:

Trading without registration

Panel:

Deborah Armour - Chair, Judith Downes, Warren Funt

Note:

On April 24, 2024, the Executive Director issued a Notice of Hearing. Hearing concluded. The Panel's decision is due on June 9, 2025.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Judith Downes, Jason Milne

Note:

On April 29, 2022, an application was made under section 171 of the Securities Act to revoke certain preservation orders. The hearing is adjourned generally. This matter is proceeding in camera.

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading; Misrepresentation

Panel:

Audrey T. Ho - Chair, Gordon Johnson, Marion Shaw

Note:

On January 10, 2024, the Executive Director issued a notice of hearing. The notice of hearing has not been made public pending the determination of an application for anonymization. The Commission held a hearing management meeting on April 2, 2025. This matter is proceeding in camera.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Note:

The executive director has applied for an order under section 161(6) of the Act. The panel's decision is due on August 18, 2025

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Note:

The Executive Director has applied for orders under section 161(6) of the Securities Act. The respondent has until May 1, 2025, to file submissions.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Audrey T. Ho - Chair, James Kershaw, Marion Shaw

Note:

On April 18, 2023, the executive director issued a notice of hearing. Hearing concluded. On August 7, 2024, the Panel issued its findings. On November 29, 2024, the Panel issued its Decision. On September 4, 2024 and December 24, 2024, David Smillie applied for leave to appeal to the British Columbia Court of Appeal. The Court of Appeal application is set for hearing on May 13, 2025 at 9:30am.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Judith Downes, Karen Keilty

Note:

On August 12, 2024, the Canadian Investment Regulatory Organization requested a review of a decision dated July 22, 2024. Hearing concluded. The Panel's decision is due on April 7, 2025.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, Karen Keilty

Note:

On November 7, 2023, Mr. Dhala applied under section 171 of the Act to vary the Commission's decision 2015 BCSECCOM 336 dated August 31, 2015. On April 7, 2025, the panel issued a Decision striking the Review.