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Enforcement

Disciplined List

Delisle, Del Michel Albert

  • Date of Order or Settlement:

    2005-06-06

  • Banned Until:

    2011-06-06

Sanction:

  • 6-year trading ban with conditions (2005)
  • 6-year director/officer ban (2005)
  • 6-year investor relations ban (2005)
  • An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines (2005)
  • 18-month trading ban with conditions (2001)
  • 18-month director/officer ban with conditions (2001)
  • 18-month investor relations ban (2001)
  • 18-month ban from disseminating to the public, or authorizing the dissemination to the public persaonlly, or through any corporate entity, any information relating to trading or advising in securities or investor relations activities (2001)
  • An undertaking to cease using the name of First Equity Capital for any purposes relating to trading or advising in securities or investor relations activities (2001)
  • An undertaking to comply fully with the Securities Act, the Securities Rules, and any applicable regulations and guidelines (2001)
  • An undertaking to keep the Executive Director informed at all times of the registered dealer through which he is permitted to trade (2001)

Supporting Documents:

Violation:

  • Unregistered trading (2005)
  • Illegal distribution (2005)
  • Acting contrary to the public interest (2005)
  • Unregistered trading (2001)
  • Unregistered advising (2001)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$2,000 plus $500 in costs (2001)