Hearing Schedule

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, James Kershaw

Note:

The executive director has applied for orders under section 161(6) and 161(1) of the Securities Act. The hearing is scheduled to start on April 20, 2022. The hearing was adjourned to May 27 and June 20, 2022.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

The hearing is scheduled to start on May 30, 2022.

Hearing Type:

Enforcement

Panel:

Audrey T. Ho - Chair, Deborah Armour, James Kershaw

Note:

The Commission will hold a hearing management meeting on May 30, 2022 at 9:00am. The hearing is scheduled to start on October 3, 2022.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Gordon Johnson - Chair, Audrey T. Ho, James Kershaw

Note:

The Commission will hold a hearing management meeting on June 6, 2022, at 9am, by telephone conference. The hearing is scheduled to start on July 5, 2022.

Hearing Type:

Enforcement

Allegations:

Disclosure violations

Panel:

Audrey T. Ho - Chair, Deborah Armour, Judith Downes

Note:

The Commission will hold a hearing management meeting on June 8, 2022 at 8:30am. The hearing is scheduled to start on September 12, 2022.

Hearing Type:

Review

Panel:

Marion Shaw - Chair, George C. Glover, James Kershaw

Note:

On October 18, 2021, an application was made under section 171 of the Securities Act to revoke certain freeze orders. This matter is proceeding in camera. The panel will hear this application on June 21, 2022.

Hearing Type:

Enforcement

Panel:

Judith Downes - Chair, James Kershaw, Marion Shaw

Note:

On March 24, 2022, Mr. Morabito made an application for disclosure. On July 4, 2022, the Commission will hear the parties' oral submissions on the application. The Commision will hold a hearing management meeting on July 26, 2022 at 9:00am by telephone. The hearing is scheduled to start on September 6, 2022.

Hearing Type:

Review

Allegations:

Acting contrary to public interest

Note:

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

Hearing Type:

Review

Note:

On November 2, 2021, Lucillia Sok Cheng Tan applied for a review of a Mutual Fund Dealers Association decision dated October 4, 2021. The Commission will hold a hearing management meeting on July 22, 2022, at 9:00am by telephone. The hearing is scheduled to start on October 12, 2022.

Hearing Type:

Review

Panel:

James Kershaw - Chair, George C. Glover, Gordon Johnson

Note:

On August 25, 2021, an application was made under section 171 of the Securities Act to revoke certain preservation orders. This matter is proceeding in camera.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Illegal distribution

Panel:

Audrey T. Ho - Chair, Judith Downes

Note:

On April 28, 2021, the executive director issued an amended notice of hearing. On June 11, 2021 the panel extended the temporary orders until a hearing is held and decision rendered. The hearing is scheduled to start on November 1, 2022. The panel heard an application on April 6 and 7, 2022, and reserved its decision. The Commission will hold a hearing management meeting on September 8, 2022, at 9:00am.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Jason Milne, Marion Shaw

Note:

The hearing is scheduled to start on February 23, 2023. The Commission will hold a hearing management meeting on November 30, 2022 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

On January 25, 2022, the Executive Director issued a notice of hearing. The Commission will hold a hearing management meeting on December 6, 2022 at 9:00am.The hearing is scheduled to start on March 6, 2023.

Hearing Type:

Review

Note:

On February 18, 2022, Anglo-Bomarc Mines Ltd. requested a review of the TSXV's decision effective December 6, 2021.

Hearing Type:

Enforcement

Allegations:

Fraud; Misrepresentation

Panel:

Gordon Johnson - Chair, Audrey T. Ho, James Kershaw

Note:

Hearing concluded. The Panel's findings are pending. The Executive Director entered into settlement agreements with Monita Hung Mui Chan and Marie Joy Vincent and discontinued proceedings against them on April 19, 2021.

Hearing Type:

Review

Panel:

George C. Glover - Chair, Deborah Armour, Marion Shaw

Note:

The Applicant has requested a review of a TSX Venture Exchange Decision.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Fraud

Panel:

Gordon Johnson - Chair, Audrey T. Ho, James Kershaw

Note:

Hearing concluded. The panel's findings are due June 27, 2022.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

On November 10, 2021, Paul Se Hui Oei requested a review of the Executive Director’s decision dated October 29, 2021. Hearing concluded. The Panel's decision is August 19, 2022.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; False or misleading statements; Insider trading

Panel:

Gordon Johnson - Chair, Judith Downes, Marion Shaw

Note:

On April 29, 2022, the Panel issued its findings. The parties have until June 24, 2022, to file submissions on sanction.

Hearing Type:

Review

Note:

On October 28, 2021, an application was made to review IIROC reasons for judgement.This matter is proceeding in camera.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Gordon Johnson - Chair, Judith Downes, Karen Keilty

Note:

Hearing completed. The parties have until July 22, 2022, to file submissions on liability.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Jason Milne

Note:

The Executive Director has applied for orders under sections 161(6)(a) and 161(1) of the Securities Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, Deborah Armour

Note:

The executive director has applied for an order under sections 161(6)(d) and 161(1) of the Securities Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Deborah Armour

Note:

The Executive Director has applied for orders under sections 161(1) and (6) of the Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Note:

The executive director has applied for an order under sections 161(6)(d) and 161(1) of the Securities Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Judith Downes

Note:

The executive director has applied for an order under sections 161(6)(b), (c), and (d) and 161(1) of the Securities Act.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Judith Downes

Note:

The executive director has applied for an order under sections 161(6)(b) and 161(1) of the Securities Act. The Panel's decision is pending.

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 respondent has until May 25, 2022, to file submissions.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, Judith Downes

Note:

The executive director has applied for orders under sections 161(6)(b) and 161(1) of the Securities Act. The panel's decision is pending.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Judith Downes - Chair, Deborah Armour

Note:

The Panel issued its decision on May 2, 2022.

Hearing Type:

Review

Panel:

Deborah Armour, Marion Shaw

Note:

The Attorney General for British Columbia requested the Commission to refer a stated case to the British Columbia Supreme Court challenging the constitutional validity of s. 151 of the Securities Act. The hearing was held in November 2020. The British Columbia Supreme Court issued its Reasons for Judgment on July 27, 2021. On August 23 and 26, 2021, the appellants filed Notices of Appeal with the British Columbia Court of Appeal.

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading

Panel:

Judith Downes - Chair

Note:

On March 8, 2017, the Executive Director discontinued proceedings against Antoine Ratsaphong. Hearing concluded. The Panel issued its findings on April 25, 2018. The appellants Deyrmenjian, Khorchidian, EHT and Craven filed notices of application for leave to appeal with the BC Court of Appeal. On November 2, 2018, the panel heard submissions on EHT and Craven's application under section 171 of the Act to revoke or vary the Panel's findings, and denied the application, with reasons to follow. The Panel issued it's decision on March 11, 2019. On April 8, 2019, Raffi Khorchidian filed a notice of application for leave to appeal with the BC Court of Appeal. On September 16, 2019, Garo Deyrmenjian filed an Amended Notice of Application for leave to appeal. Garo Deyrmenjian's and Raffi Khorchidian's leave applications are scheduled for November 13, 2019. On November 14, 2019 Leave to appeal was partially granted.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements

Panel:

Judith Downes - Chair, Deborah Armour

Note:

The Panel issued it's decision on April 16, 2021. On September 7, 2021, Hunter Wei-Shun Wang filed a notice of application for leave to appeal the Commission's decision in the British Columbia Court of Appeal.

Hearing Type:

Enforcement

Allegations:

False or misleading statements

Panel:

Judith Downes - Chair, Audrey T. Ho

Note:

The Panel issued its findings on October 12, 2018. The Panel issued its decision on April 9, 2019. On May 6, 2019, Mountainstar Gold and Brent Hugo Johnson filed a notice of application for leave to appeal with the BC Court of Appeal and on September 11, 2020 were granted leave to appeal. The appeal will be heard on May 18, 2022.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, Audrey T. Ho

Note:

On January 7, 2021, the applicant applied under section 171 of the Securities Act to revoke an Investigation Order. On May 17, 2021, the Panel heard the application and reserved its ruling. This matter is proceeding in camera. The Panel issued its Ruling on October 6, 2021. On October 20, 2021 the Appellants applied to the British Columbia Court of Appeal for leave to appeal. On December 10, 2021, the Court of Appeal granted leave.