Name Busto, Dominic
Date of Order or Settlement April 28, 2006

An Order to fully comply with the Securities Act, Rules and regulations

Conditions placed upon Busto's registration:
Two years of close supervision
A requirement to complete the Conduct and Practices Handbook Course within six months

Payment Agreed / Ordered



Failure to act as a gatekeeper

Failure to comply with "Know Your Client" rules

Failure to observe anti-money laundering standards

Acting contrary to the public interest

Ruling Body BCSC
Supporting Documents

News Release
Settlement/Order New window

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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