Disciplined List
Mitrou, Teresa Inez Marie
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Date of Order or Settlement:
2001-10-10 -
Banned Until:
2006-10-10
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban with conditions
- 5-year investor relations ban
- An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
- An undertaking not to apply to work as a compliance officer, or apply for designation as a compliance officer for 5 years
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to comply with "Know Your Client" rule
- Failure to provide adequate supervision or to ensure compliance with provisions of the Securities Act abd Rules with respect to the distributions of securities
Ruling Body:
BCSCPayment Agreed/Ordered:
$3,500 plus $1,500 in costs