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Enforcement

Disciplined List

Mitrou, Teresa Inez Marie

  • Date of Order or Settlement:

    2001-10-10

  • Banned Until:

    2006-10-10

Sanction:

  • 5-year trading ban with conditions
  • 5-year director/officer ban with conditions
  • 5-year investor relations ban
  • An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
  • An undertaking not to apply to work as a compliance officer, or apply for designation as a compliance officer for 5 years

Supporting Documents:

Violation:

  • Unregistered distribution
  • Failure to comply with "Know Your Client" rule
  • Failure to provide adequate supervision or to ensure compliance with provisions of the Securities Act abd Rules with respect to the distributions of securities

Ruling Body:

BCSC

Payment Agreed/Ordered:

$3,500 plus $1,500 in costs