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Enforcement

Disciplined List

Botha, Basil Roy

  • Date of Order or Settlement:

    2010-06-01

  • Banned Until:

    2013-06-01

Sanction:

  • 3-year ban from becoming or acting as an advisor
  • An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations

Supporting Documents:

Violation:

    Unregistered advising

Ruling Body:

BCSC

Payment Agreed/Ordered:

$10,000