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Enforcement

Disciplined List

Friesen, Irene Rose

  • Date of Order or Settlement:

    2001-11-14

  • Banned Until:

    2011-11-14

Sanction:

  • 10-year Compliance Officer ban
  • 2-year from serving as a partner, director or officer, other than a compliance officer, of any registrant
  • 2-year ban from trading or advising in exempt securities with conditions
  • 6 months of strict supervision following any new registration under the Securities Act
  • An undertaking to comply fully with the provisions of the Securities Act and the Securities Rules
  • An undertaking to comply fully with the "Know Your Client" record keeping requirements of the Securities Act

Supporting Documents:

Violation:

  • Unregistered advising
  • Failure to comply with "Know Your Client" rule
  • Failure to deal fairly, honestly, and in good faith with clients

Ruling Body:

BCSC

Payment Agreed/Ordered:

$5,000 plus $5,000 in costs