Disciplined List
French, Michael Fenwick
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Date of Order or Settlement:
2005-07-20 -
Banned Until:
2020-07-20
Sanction:
- 15-year trading ban with conditions
- 15-year director/officer ban
- 15-year investor relations ban
- An undertaking to comply with the Securities Act, the Securities Rules and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Acting as an unregistered portfolio manager
- Acting contrary to the public interest