DISCIPLINED PERSONS LIST
[Print]
| Name | Friesen, Katherine |
|---|---|
| Date of Order or Settlement | December 30, 1992 |
| Banned Until | November 27, 2002 |
| Sanction |
10-year trading ban (BCSC) 10-year director/officer ban (BCSC) Permanent trading ban with conditions (OSC) |
| Payment Agreed / Ordered | $1,000 in costs |
| Violation |
Unregistered advising (OSC) Unregistered trading (OSC) Misrepresentations (OSC) Failure to supervise (OSC) |
| Ruling Body | BCSC, Ontario Securities Commission (OSC) |
| Supporting Documents |
Settlement/Order 
|
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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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