DISCIPLINED PERSONS LIST

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:
Two years of close supervision
A requirement to complete the Conduct and Practices Handbook Course within six months

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

News Release
Settlement/Order New window

Disclaimer:
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.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.