Disciplined List
Harris, David Edward
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Date of Order or Settlement:
2014-01-16 -
Banned Until:
2021-05-11
Sanction:
- 10-year trading ban (with conditions)
- 10- year ban from relying on any exemptions set out in the Securities regulations (with conditions)
- 10-year ban from becoming or acting as a registrant, investment fund manager or promoter
- 10-year ban from acting in a management or consultative capacity in connection with activities in the securities market
