DISCIPLINED PERSONS LIST
[Print]
| Name | Thompson, Rex W. |
|---|---|
| Date of Order or Settlement | April 18, 2006 |
| Sanction |
Future registration as a director/officer tied to four years of compliance audits An order to comply fully with the Securities Act, Securities Rules and any applicable regulations and policies |
| Payment Agreed / Ordered | $160,000 plus $40,000 in costs |
| Violation |
Failure to comply with "Know Your Client" rules Failure to supervise Failure to fulfil the duties and responsibilities of a director/officer Failure to act as a gatekeeper Acting contrary to public interest |
| Ruling Body | BCSC |
| Supporting Documents |
Settlement/Order 
|
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