The disciplined persons list is intended to assist the public and the securities industry in conducting due diligence. This list reveals the names of all persons disciplined by the Alberta Securities Commission since 1987, the Autorité des marchés financiers since 2007, the British Columbia Securities Commission since 1987, the Bureau de décision et de révision since 2007, the Manitoba Securities Commission since 1999, the New Brunswick Securities Commission since 1991, the Nova Scotia Securities Commission since 2002, the Ontario Securities Commission since 1997, the Saskatchewan Financial Services Commission since 2005, the Quebec provincial court since 2007, the Investment Industry Regulatory Organization of Canada (IIROC) since 2004, the Mutual Fund Dealers Association of Canada (MFDA) since 2004 and la Chambre de la sécurité financière since 2001.
Administrative tribunal hearing decisions and settlement agreements are public records. As the government agencies responsible for protecting investors and the integrity of the securities markets, we consider it important to make this type of information readily available. This is why we identify the names of the person that have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.
Note: The Alberta Securities Commission (ASC) recently refreshed their website, which may result in incorrect links to their documents published on the Disciplined Persons List. We are currently working to address this problem. In the meantime, all orders and decisions issued by the ASC can be found on their website at: http://www.albertasecurities.com/proceedings-decisions-and-orders/Pages/default.aspx.