Hearing Schedule

Hearing Type:

Review

Note:

On October 28, 2021, an application was made to review IIROC reasons for judgement.This matter is proceeding in camera. A hearing management meeting will be held on December 3, 2021.

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 adjourned to January 11, 2022. An Application will be heard on December 6, 2021 at 1pm.

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 May 26, 2021, the panel extended the temporary orders until June 15, 2021. 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 at 10:00am. The Commission will hold a hearing management meeting on December 15, 2021.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Misrepresentation

Panel:

Judith Downes - Chair, Deborah Abbey, Gordon Johnson

Note:

The Panel issued its Findings on July 28, 2021. On December 13, 2021, the Panel will hear oral submissions on sanctions.

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. The Commission Hearing Office will hold a hearing management meeting on December 17, 2021 at 2:30pm.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

The hearing is set to start on May 30, 2022. The Commission will hold a hearing management meeting on December 20, 2021.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Fraud

Panel:

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

Note:

The hearing is scheduled to start on January 17, 2022.

Hearing Type:

Enforcement

Allegations:

Disclosure violations

Panel:

Audrey T. Ho - Chair, Deborah Armour, Marion Shaw

Note:

The Commission will hold a hearing management meeting on January 27, 2022 at 8:30am.

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. The hearing is scheduled to start on February 1, 2022.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

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

Note:

The hearing is scheduled to start on February 4, 2022.

Hearing Type:

Enforcement

Panel:

Gordon Johnson - Chair, Deborah Armour, Marion Shaw

Note:

The hearing is scheduled to start on February 28, 2022. The Commission will hold a hearing management meeting on December 1, 2021, at 9:00am. On June 10, 2021, the executive director issued an amended notice of hearing and discontinued proceedings against Eric Mayrhofer.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Judith Downes - Chair, Deborah Armour

Note:

On September 22, 2021, the panel issued its Findings. The parties have until January 7, 2022 to file submissions on sanction. The Panel will hear oral submissions on sanction on March 15, 2022.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, Deborah Armour

Note:

The executive director has applied for an order under sections 161(6)(a) and (c) and 161(1) of the Securities Act. The hearing is scheduled to start on April 27, 2022.

Hearing Type:

Enforcement

Allegations:

Fraud

Note:

The Commission will hold a hearing management meeting on April 21, 2022, at 10:00am by telephone. The hearing is scheduled to start on May 16, 2022.

Hearing Type:

Enforcement

Panel:

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

Note:

The hearing is scheduled to start on October 3, 2022. A hearing management meeting will be held on May 30, 2022.

Hearing Type:

Enforcement

Panel:

Judith Downes - Chair, James Kershaw, Marion Shaw

Note:

The Commission 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:

Enforcement

Allegations:

Disclosure violations

Panel:

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

Note:

On October 6, 2021, the Panel issued its Findings. The parties have until November 25, 2021, to file submissions on sanction.

Hearing Type:

Enforcement

Allegations:

Fraud; Misrepresentation

Panel:

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

Note:

Hearing concluded. The parties have until December 14, 2021 to file written submissions on liability. 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:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

Enna Keller has applied under section 171 of the Securities Act to vary the Commission's decision dated February 14, 2017. The panel heard Ms. Keller's application on July 22, 2021 and reserved its decision.

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:

Acting contrary to public interest; False or misleading statements

Panel:

Gordon Johnson - Chair, Deborah Armour, Judith Downes

Note:

On October 8, 2021, the Panel heard oral sanctions on submissions. The Panel's decision is due November 26, 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:

Review

Panel:

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

Note:

On June 16, 2021 the parties applied for various orders. On July 16, 2021, the Panel issued a Ruling. This matter is proceeding in camera.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Judith Downes, Audrey T. Ho

Note:

Philip Wong has applied under section 171 of the Securities Act to vary the Commission's decision under section 161(6) of the Act (2010 BCSECCOM 64). Hearing concluded. The Panel's Decision is due December 13, 2021.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; False or misleading statements; Insider trading

Panel:

Gordon Johnson - Chair, Judith Downes, Marion Shaw

Note:

The Panel's Findings are due March 11, 2022.

Hearing Type:

Review

Panel:

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

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 parties have until February 21, 2022, to file submissions.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Note:

The Executive Director has applied for orders under sections 161(6)(a) and 161(1) of the Securities Act. The respondent has until January 12, 2022, to file submissions.

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.

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

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 - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

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

Note:

The Executive Director has applied for orders under section 161(6) of the Act. The panel's decision is pending.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Judith Downes, Audrey T. Ho

Note:

On December 14, 2020, IIROC applied for a review of an IIROC hearing panel's order and reasons for decision. The panel heard IIROC's application on July 5, 2021, and on November 3, 2021 issued its decision.

Hearing Type:

Enforcement

Allegations:

Trading without registration; Advising without registration

Panel:

Gordon Johnson - Chair, Judith Downes, Marion Shaw

Note:

On November 15, 2021, the Executive Director entered into a settlement agreement with the respondent and discontinued proceedings against him.

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:

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, 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:

Acting contrary to public interest; False or misleading statements

Panel:

Judith Downes - Chair, Deborah Abbey, 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. On September 11, 2020 the BC Court of Appeal granted leave to appeal.

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. The Court of Appeal application is set for hearing on December 10, 2021 at 9:30am.

Hearing Type:

Review

Panel:

Deborah Armour - Chair, Gordon Johnson, Marion Shaw

Note:

On June 26, 2021, Mr. Waters applied under s. 171 of the Act to vary the Commission's decision 2014 BCSECCOM 369 dated September 4, 2014. The Panel's decision is due February 24, 2022.