John Malcolm Cockburn [Order and Settlement Agreement]

2019 BCSECCOM 318, 2019 BCSECCOM 303
Document Type:
Order and Settlement Agreement
Published Date:
Effective Date:

2019 BCSECCOM 318

2019 BCSECCOM 303

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John Malcolm Cockburn


Securities Act, RSBC 1996, c. 418 (the Act)



  1. The Executive Director of the British Columbia Securities Commission has entered into a settlement agreement with John Malcolm Cockburn (Cockburn), a copy of which is attached as Schedule A.

  2. The Executive Director, considering it to be in the public interest to do so, orders (the Order) that:

    1. under section 161(1)(d)(i),  Cockburn resign any position he holds as a director or officer of an issuer or registrant;

2. Cockburn is prohibited for four years:

(a) under section 161(1)(b)(ii), from trading in or purchasing any securities or exchange contracts, except that he may trade securities through a registrant in one RRIF account and one TFSA account held in his own name, if he first provides a copy of the Order to the registrant;

(b) under section 161(1)(d)(ii), from becoming or acting as a director or officer of any issuer or registrant;

(c) under section 161(1)(d)(iii), from becoming or acting as a registrant or promoter;

(d) under section 161(1)(d)(iv), from acting in a management or consultative capacity in connection with activities in the securities market; and

(e) under section 161(1)(d)(v), from engaging in investor relations activities.


    3. September  11 , 2019


        Peter J. Brady

        Peter J. Brady
        Executive Director