DISCIPLINED PERSONS LIST
[Print]
| Name | Busto, Dominic |
|---|---|
| Date of Order or Settlement | April 28, 2006 |
| Sanction |
An Order to fully comply with the Securities Act, Rules and regulations Conditions placed upon Busto's registration: |
| Payment Agreed / Ordered |
$50,000 |
| Violation |
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 |
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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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