Decisions
David Cathcart [Reciprocal Order]
BCSECCOM #:
2009 BCSECCOM 385
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Document Type:
Reciprocal Order
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Published Date:
2009-07-14
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Effective Date:
2009-07-07
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Details:
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2009 BCSECCOM 385
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2009 BCSECCOM 385
Reciprocal Order
David Cathcart
Section 161(1) of the Securities Act, RSBC 1996, c. 418
David Cathcart
Section 161(1) of the Securities Act, RSBC 1996, c. 418
- Introduction
- Background
- Order
- 1. under section 161(1)(b) of the Act, that Cathcart cease trading in, and is prohibited from purchasing, securities and exchange contracts, until February 27, 2014, except that Cathcart may trade and purchase securities through accounts in his name at a registered dealer,
2. under section 161(1)(c) of the Act, that any or all of the exemptions described in sections 44 to 47, 74, 75, 98 and 99 do not apply to Cathcart, until February 27, 2014, except for those exemptions necessary to enable Cathcart to trade and purchase securities as permitted in this order,
3. under section 161(1)(d)(i) and (ii) of the Act, that Cathcart resign any position he holds as, and is permanently prohibited from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager,
4. under section 161(1)(d)(iii) of the Act, that Cathcart is permanently prohibited from becoming or acting as a registrant, investment fund manager or promoter,
5. under section 161(1)(d)(iv) of the Act, that Cathcart is permanently prohibited from acting in a management or consultative capacity in connection with activities in the securities market, and
6. under section 161(1(d)(v) of the Act, that Cathcart is permanently prohibited from engaging in investor relations activities.
¶ 5 For the Commission
- Brent W. Aitken
Vice Chair
Kenneth G. Hanna
Commissioner