Hearing Schedule

Hearing Type:

Review

Note:

Enna Keller has applied under section 171 of the Securities Act to vary the Commission's decision dated February 14, 2017. The Commission will hold a hearing management meeting on January 25, 2021 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Judith Downes - Chair, Deborah Armour

Note:

Hearing underway.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, James Kershaw

Note:

The executive director has applied for orders under section 161 of the Securities Act. The panel will hold a hearing management meeting on February 1, 2021 at 9am.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Contravening a decision/order

Note:

The Commission will set a date for the hearing on February 9, 2021 at 9:00am.

Hearing Type:

Enforcement

Panel:

Gordon Johnson - Chair, Deborah Armour, Marion Shaw

Note:

The Commission will set a date for the hearing on February 10, 2021 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements; Manipulation/Misleading trading

Panel:

Suzanne K Wiltshire - Chair, George C. Glover

Note:

The hearing has concluded. The parties have until February 19, 2021 to file submissions on liability. The panel will hear oral submissions on liability on February 22 - 25, 2021. The Commission will hold a hearing management meeting on February 18, 2021 at 9:00am.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Misrepresentation

Panel:

Judith Downes - Chair, Deborah Abbey, Gordon Johnson

Note:

The hearing is scheduled to start on March 8, 2021.

Hearing Type:

Enforcement

Panel:

Gordon Johnson - Chair, Deborah Armour, Marion Shaw

Note:

The Commission will hold a hearing management meeting on March 26, 2021 at 9:00am by teleconference call. The hearing is scheduled to start on May 25, 2021.

Hearing Type:

Enforcement

Allegations:

Fraud; Misrepresentation

Panel:

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

Note:

The Commission will hold a further hearing management meeting on March 31, 2021 at 9:00am by telephone conference. The hearing is scheduled to start on April 6, 2021.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; False or misleading statements; Insider trading

Note:

The Commission will hold a hearing management meeting on May 18, 2021, by telephone conference. The hearing is scheduled to start on June 21, 2021.

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 25, 2021. The hearing is scheduled to commence on September 7, 2021.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Fraud

Panel:

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

Note:

The Commission will hold a hearing management meeting on September 21, 2021 @ 9am. The hearing is scheduled to start on November 8, 2021.

Hearing Type:

Enforcement

Allegations:

Disclosure violations

Panel:

Gordon Johnson - Chair, George C. Glover, Marion Shaw

Note:

Hearing concluded.

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 is scheduled to start November 16, 2020.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Illegal distribution

Panel:

Audrey T. Ho - Chair, Judith Downes

Note:

On May 29, 2019, the Panel issued its Decision and Reasons for Decision and extended the Temporary Order until May 27, 2020. On October 8, 2019, Notice of Application for Leave to Appeal was filed on behalf of the BridgeMark group. On October 10, 2019, the Liu and Lukor Group filed a Notice of Application for Leave to Appeal. The appeal will be held September 11,2020. On May 5, 2020, the Executive Director entered into settlement agreements with SpeakEasy Cannabis Club Ltd. and discontinued proceedings against them. On May 26, 2020, the Panel issued its Decision on the Executive Director's application to extend temporary orders. On June 12, 2020, the Panel issues its Reasons for Decision. On July 10, and August 26, 2020, the Panel issued Rulings on certain applications.

Hearing Type:

Review

Note:

Staff of IIROC have provided notice of its intention to file an application for a hearing and review of an IIROC hearing panel decision.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements

Panel:

Judith Downes - Chair, Deborah Abbey, Deborah Armour

Note:

Hearing concluded. On December 9, 2020, the Panel issued its Findings. The parties submissions are due on February 1, 2021.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Gordon Johnson - Chair, Deborah Armour, George C. Glover

Note:

Hearing concluded. The Panel issued its Decision on January 6, 2014. On April 8, 2020, the Commission received an application under section 15.1 of the Act. The Panel issued its Decision on May 20, 2020. The Panel issued its Decision (Part 2) on December 21, 2020.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements

Panel:

Gordon Johnson - Chair, Deborah Armour, Judith Downes

Note:

The panel's findings are due March 22, 2021

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, Judith Downes

Note:

On June 18, 2020, Ms. Li requested a review of the MFDA's decision dated February 6, 2020.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Suzanne K Wiltshire

Note:

On January 25, 2010, the Commission issued its decision under section 161(6) of the Act (2010 BCSECCOM 64). On February 5, 2010, the executive director discontinued its proceedings under the notice of hearing (2010 BCSECCOM 72). On October 9, 2019, Mr. Wong applied under s. 171 of the Act to vary the Commission's decision issued January 25, 2010. The application is adjourned generally.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Judith Downes, Marion Shaw

Note:

Hearing concluded. The Panel's decision is due February 19, 2021.

Hearing Type:

Enforcement - Reciprocal order

Note:

The executive director has applied for orders under s161 of the Securities Act.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Deborah Abbey

Note:

The executive director has applied for orders under section 161(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 section 161(6) of the Act.

Hearing Type:

Enforcement - Reciprocal order

Note:

The executive director has applied for orders under sections 161 of the Securities Act.

Hearing Type:

Enforcement - Reciprocal order

Note:

The executive director has applied for orders under section 161 of the Securities Act.

Hearing Type:

Enforcement - Reciprocal order

Note:

On September 14, 2020, the executive director applied for orders under section 161 of the Securities Act.

Hearing Type:

Enforcement - Reciprocal order

Note:

The executive director has applied for orders under section 161 of the Securities Act.

Hearing Type:

Enforcement - Reciprocal order

Note:

The executive director has applied for orders under section 161 of the Securities Act.

Hearing Type:

Review

Panel:

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

Note:

On May 25, 2020, Mr. Pasquill applied under s171 of the Securities Act to revoke a preservation order dated March 27, 2020. On November 5, 2020, the Panel issued its decision.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

George C. Glover - Chair, Audrey T. Ho

Note:

The Panel issued its decision on July 16, 2020. On August 13, 2020, Liao filed a notice of application for leave to appeal the Commission's decision in BC Court of Appeal No. CA046964.

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading

Panel:

Judith Downes - Chair, Gordon L. Holloway, Suzanne K Wiltshire

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:

False or misleading statements

Panel:

Judith Downes - Chair, Audrey T. Ho, Don Rowlatt

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.

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading

Panel:

Suzanne K Wiltshire - Chair, George C. Glover, Audrey T. Ho

Note:

On March 28, 2017, Mr. Leyk filed an application to have the orders against him permanently removed on the grounds that the executive director had not provided him with notice of the proceeding. The panel heard this application in writing and issued its decision on December 5, 2018. On December 27, 2018, Mr. Leyk filed a notice of application for leave to appeal with the British Columbia Court of Appeal. On January 28, 2018, Mr. Leyk filed an application for an order for disclosure and permanently cancelling the Findings and Decision. The panel heard these applications in writing and issued its decision on April 18, 2019. On May 13, 2019, Mr. Leyk filed a Notice of Application for Leave to Appeal with the British Columbia Court of Appeal.