Hearing Schedule

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Note:

The Commission will set a date for the hearing on February 7, 2023 at 9:00am.

Hearing Type:

Enforcement

Note:

The Commission will set a date for the hearing on February 7, 2023, at 9:00am.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Disclosure violations; Failure to file

Panel:

Marion Shaw - Chair, Judith Downes, Audrey T. Ho

Note:

The hearing is scheduled to start on March 31, 2023. The Commission will hold a hearing management meeting on February 21, 2023.

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 February 21, 2023.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Jason Milne, Marion Shaw

Note:

The hearing is scheduled to start on February 23, 2023. On December 12, 2022, the Respondents applied for an order. This application proceeded in writing and the Panel issued its ruling on January 11, 2023.

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution; Obstruction of justice

Panel:

James Kershaw - Chair, Deborah Armour, Jason Milne

Note:

The hearing is scheduled to start on March 20, 2023. The Commission will hold a hearing management meeting on February 27, 2023, at 2:00pm.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

The hearing is scheduled to start on March 6, 2023.

Hearing Type:

Enforcement

Panel:

Judith Downes - Chair, James Kershaw, Marion Shaw

Note:

The hearing is scheduled to start on April 11, 2023. On September 6, 2022, the Commission heard the parties' oral submissions on the Applicants' disclosure applications. The Panel issued its ruling on October 18, 2022. The reasons for ruling will follow.

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution

Panel:

James Kershaw - Chair, Gordon Johnson, Karen Keilty

Note:

The hearing is scheduled to start on May 23, 2023. The Commission will hold a hearing management meeting on April 14, 2023 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

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

Note:

The hearing is scheduled to start on April 17, 2023.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Deborah Armour - Chair, Gordon Johnson, Jason Milne

Note:

The hearing is scheduled to start June 5, 2023. The Commission will hold a hearing management meeting on May 17, 2023.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Insider trading; Failure to file

Panel:

Audrey T. Ho - Chair, Judith Downes

Note:

The hearing is scheduled to start on September 11, 2023. The Commission will hold a hearing management meeting on June 14, 2023, at 8:30am. On April 28, 2021, the executive director issued an amended notice of hearing and discontinued proceedings against certain parties. On June 11, 2021, the panel extended the temporary orders until a hearing is held and a decision is rendered. On January 12, 2023, the Executive Director entered into a settlement agreement with Robert John Lawrence and Tavistock Capital Corp. and discontinued the proceedings against them.

Hearing Type:

Enforcement

Allegations:

Registrant misconduct

Panel:

Deborah Armour - Chair, Judith Downes, Marion Shaw

Note:

The hearing is scheduled to start on January 8, 2024. The Commission will hold a hearing management meeting on September 21, 2023 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Trading without registration

Panel:

Gordon Johnson - Chair, Judith Downes, James Kershaw

Note:

The Commission will hold a hearing management meeting on October 19, 2023 @ 9am by video conference. The hearing is scheduled to start on November 27, 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:

False or misleading statements; Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

Hearing concluded. The Panel’s findings are due on April 3, 2023. On May 27, 2022, the executive director entered into a settlement agreement with Norman Wareham and discontinued the proceedings against him.

Hearing Type:

Enforcement

Allegations:

Fraud; Misrepresentation

Panel:

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

Note:

Hearing concluded. The Panel issued its Findings on October 4, 2022. The Panel's Decision is due February 8, 2023. 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

Panel:

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

Note:

Hearing concluded. The Panel's Decision is due April 11, 2023. On September 12, 2022, the Executive Director entered into a settlement agreement with Geoffrey Rajay Sidhu and discontinued proceedings against him.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Judith Downes, Jason Milne

Note:

On July 11, 2022, an application was made under section 114 of the Securities Act for certain orders. The Panel heard this application on July 29 and August 2, 2022 and issued its Ruling on August 3, 2022, with reasons to follow.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Contravening a decision/order

Panel:

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

Note:

Hearing concluded. The Panel’s decision is due on March 13, 2023.

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:

Review

Panel:

Gordon Johnson - Chair, Karen Keilty, Marion Shaw

Note:

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

Hearing Type:

Review

Allegations:

Acting contrary to public interest

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:

Review

Panel:

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

Note:

On June 10, 2022, an applications was made under section 171 of the Act to vary or revoke certain freeze orders. This matter is proceeding in camera. On January 23, 2023, the panel heard the application and reserved its decision. The panel's decision is due February 23, 2023.

Hearing Type:

Enforcement

Allegations:

Disclosure violations

Panel:

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

Note:

Hearing concluded. On January 30, 2023, the Panel issued its findings. The parties have until March 14, 2023, to file submissions on sanction.. On July 7, 2022, the Executive Director entered into a settlement agreement with Hello Pal International Inc. and Ryan James Johnson and discontinued proceedings against them. On August 4, 2022, the Executive Director entered into a settlement agreement with Bearing Lithium Corp. and Jeremy Arthur William Poirier and discontinued proceedings against them. On September 12, 2022 the Executive Director entered into a settlement agreement with Chad David McMillan and discontinued proceedings against him and against Phivida Holdings Inc. On September 14, 2022 the Executive Director entered into a settlement agreement with MGX Minerals Inc. and Jared Michael Lazerson and discontinued proceedings against them.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Gordon Johnson - Chair, Judith Downes, Karen Keilty

Note:

Hearing concluded. On January 23, 2023, the Panel issued its findings. The parties have until March 6, 2023 to file submissions on sanction..

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, Jason Milne

Note:

On May 18, 2022, the executive director applied for orders under sections 161(6)(a)(i) and 161(1) of the Securities Act. The Commission's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Jason Milne

Note:

On June 3, 2022, the executive director applied for orders under sections 161(6)(b) and 161(1) of the Securities Act. The Commission's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, Jason Milne

Note:

On May 27, 2022, the executive director applied for orders under sections 161(6)(b) and 161(1) of the Securities Act. The Commission'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. The Commission's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Jason Milne

Note:

The executive director has applied for an order under section 161(6) of the Act. The Commission'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) and 161(1) of the Securities Act. On February 1, 2023, the Panel issued its decision.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

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. On February 1, 2023, the Commission issued its decision.

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:

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. The Court of Appeal issued its Judgment on August 12, 2022. On October 11, 2022, the Appellants applied to the Supreme Court of Canada for leave to appeal.