Disciplined List
Thompson, Norman F.
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Date of Order or Settlement:
2006-04-18
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
Supporting Documents:
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:
BCSCPayment Agreed/Ordered:
$145,000 plus $30,000 in costs