Enforcement

Disciplined List

Rosiek, Dianne Sharon

Date of Order or Settlement:

2009-10-22

Sanction:

Permanent trading ban
Permanent director/officer ban
Permanent ban from becoming or acting as a registrant, investment fund manager or promoter
Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
Permanent investor relations ban

Supporting Documents:

Violation:

Fraud
Unregistered trading
Illegal distribution
Misrepresentation

Ruling Body:

BCSC

Payment Agreed/Ordered:

$16 million in disgorgement (Varied (Stayed) – January 15, 2018) and a $6 million administrative penalty