DISCIPLINED PERSONS LIST

Name Browne, Martin
Date of Order or Settlement May 12, 2006
Sanction

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

An undertaking to not apply for registration under the Securities Act from the later of three years from the date of the settlement or the date he completes the Conduct and Practices Handbook Course

An undertaking to consent to three years of strict supervision from the date his registration begins

Payment Agreed / Ordered

$50,000

Violation

Failure to act as a gatekeeper

Failure to comply with "Know Your Client" rules

Acting contrary to the public interest

Failure to observe anti-money laundering standards

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.