BCSC

Decisions

Maxine Cooke [Reciprocal Order]

BCSECCOM #: 2009 BCSECCOM 379	Document Type: Reciprocal Order
Published Date: 2009-07-14	Effective Date: 2009-07-07
Details:

2009 BCSECCOM 379

Click on the Adobe icon to launch the Acrobat Reader

2009 BCSECCOM 379

Reciprocal Order

Maxine Cooke

Section 161(1) of the Securities Act, RSBC 1996, c. 418

Introduction

¶ 1 This is an order under sections 161(1) and 161(6)(d) of the Securities Act, RSBC 1996, c.418.

Background

¶ 2 Maxine Cooke has agreed with the Alberta Securities Commission to be subject to sanctions in a settlement agreement dated September 9, 2008 inCooke, Re, 2008 ABASC 533.

Order

¶ 3 After providing Cooke an opportunity to be heard, and considering staff’s submissions, and considering it to be in the public interest, we order:

1. under section 161(1)(b) of the Act, that Cooke cease trading in, and is prohibited from purchasing, securities and exchange contracts until February 25, 2020, except that Cooke may trade and purchase securities through accounts in her name at a registered dealer,

2. under section 161(1)(d)(i) and (ii) of the Act, that Cooke resign any position she holds as, and is prohibited until February 25, 2020, from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager,

3. under section 161(1)(d)(iii) of the Act, that Cooke is prohibited until February 25, 2020, from becoming or acting as a registrant, investment fund manager or promoter,

4. under section 161(1)(d)(iv) of the Act, that Cooke is prohibited until February 25, 2020, from acting in a management or consultative capacity in connection with activities in the securities market, and

5. under section 161(1(d)(v) of the Act, that Cooke is prohibited until February 25, 2020, from engaging in investor relations activities.

¶ 4 July 7, 2009

¶ 5 For the Commission

Brent W. Aitken

Vice Chair

Don Rowlatt

Commissioner