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Enforcement

Disciplined List

Sasseville, Raymond Michael Roger

  • Date of Order or Settlement:

    2015-12-09

  • Banned Until:

    2009-12-20

Sanction:

  • 5-year ban from purchasing and trading in securities or exchange contracts with conditions (2015)
  • 5-year director/officer ban with conditions (2015)
  • 5-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision as defined in the Securities Act with conditions (2015)
  • 5-year ban from becoming or acting as a registrant or promoter (2015)
  • 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2015)
  • 5-year investor relations ban (2015)
  • 3-year trading ban with conditions (2003)
  • 3-year director/officer ban with conditions (2003)
  • 3-year investor relations ban (2003)
  • An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations (2003)

Supporting Documents:

Violation:

  • Illegal distribution (2015)
  • Unregistered distribution (2003)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$10,000 in disgorgement (Varied (Stayed) – January 15, 2018) plus an administrative penalty of $10,000 (2015)

$9,000 plus $1,000 in costs (2003)