Name Claxton, Arthur Edgar
Date of Order or Settlement November 4, 1996
Banned Until June 4, 2000

1-year trading ban (restricted to mutual funds with conditions)

4-year director/officer ban

An undertaking to meet with the management of Planvest on a minimum of once a week to ensure that sales of mutual funds comply reasonably with the "Know Your Client" Rule and to provide the Executive Director with reasonable evidence of such meetings and the contents thereof upon request

Payment Agreed / Ordered $20,000 plus $10,000 in costs 

Unregistered advising

Illegal distribution


Ruling Body BCSC
Supporting Documents Settlement/Order New window
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