DISCIPLINED PERSONS LIST
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| 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 |
Settlement/Order  |
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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.
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