Disciplined List
Watt, Robert Alfred
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Date of Order or Settlement:
1989-08-18 -
Banned Until:
1989-08-18
Sanction:
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1-year director/officer ban (BCSC)
Supporting Documents:
Violation:
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Failure to comply with the "Know Your Client" rules
- Participation in unregistered advising
Ruling Body:
BCSC, Ontario Securities Commission (OSC)Payment Agreed/Ordered:
$250 in costs