Hearings and Proceedings

Hearings and Proceedings

The Investigation and Enforcement Division investigates suspected violations of The Securities Act and The Commodity Futures Act.

Notices of Hearings and Statements of Allegations

A hearing will be held when issues of violations are brought forward by Manitoba Securities Commissions staff.

The allegations set out in the Statements of Allegations have been drafted as a result of an investigation by Commission Staff. These allegations have not yet been proven or disproven at a hearing.

The Manitoba Securities Commission Pre-Hearing Procedures Policy - February 20, 2004

The following is a current list of hearings that have been scheduled. Click here for Reasons for Decision and Orders of the Commission.

For a current list of Real Estate hearings that have been scheduled click here.

 

Hearing Dates

Subject

08, 11-14 & 18-22 Dec 2023
9:30 a.m.
(10 Days)
KAI ASSET MANAGEMENT
The Securities Act


Provincial Court 

Bret Allan Dobbin
The Securities Act
The Mortgage Brokers Act

Dec. 15, 2023, 10:00 a.m. Court 308

Court of Appeal 

 

Sokal, Wayne and ESP Software Inc.
The Securities Act
 
TBA
Jack NEUFELD and THE JACK NEUFELD FAMILY FOUNDATION
The Securities Act 
TBA