DISCIPLINED PERSONS LIST
[Print]
| Name | Smith, Richard Albert James |
|---|---|
| Date of Order or Settlement | March 29, 2004 |
| Banned Until | March 29, 2007 |
| Sanction |
3-year trading ban with conditions 3-year director/officer ban with conditions 3-year investor relations ban An undertaking to comply with the Securities Act and Securitie Rules An undertaking not to apply for registration for 3 years from the date of the Order |
| Violation |
Illegal distribution Unregistered trading |
| Ruling Body | BCSC |
| Supporting Documents |
Settlement/Order 
|
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