Skip Navigation
Enforcement

Disciplined List

Bass, Christopher James G.

  • Date of Order or Settlement:

    2014-01-17

  • Banned Until:

    2019-01-16

Sanction:


  • 5-year ban from purchasing and trading in securities or exchange contracts (with conditions) (2014)
  • 5-year director/officer ban (with conditions) (2014)
  • 5-year ban from becoming or acting as a promoter (with conditions) (2014)
  • 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market (with conditions) (2014)
  • 5-year investor relations ban (with conditions) (2014)
  • 4-year trading ban (1988)
  • 4-year director/officer ban (1988)

Supporting Documents:

Violation:

  • Illegal distribution (2013)
  • Misrepresentation (1988)
  • Failure to fulfill responsibilities of a director (1988)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$21,500 in disgorgement (Varied (Stayed) – January 15, 2018) plus a $10,000 administrative penalty

$3,500 in costs (1992)