DISCIPLINED PERSONS LIST

Name Stitt, Robert John Alexander
Date of Order or Settlement May 26, 2011
Banned Until April 13, 2012
Sanction

1-year ban from acting as the chief compliance officer or ultimate designated person for any registrant

An undertaking to comply fully with the Securities Act, Securites Rules and any applicable regulations

Payment Agreed / Ordered $5,000
Violation

Failure to establish and maintain an adequate compliance system

Failure to obtain complete know-your-client information or to perform a full suitability review for investors

Ruling Body BCSC
Supporting Documents

News Release

Settlement/Order New window 
Disclaimer:
This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.