DISCIPLINED PERSONS LIST

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

News Release

Settlement/Order New window
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