Disciplined Persons

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 2005, the Autorité des marchés financiers since 2004, the British Columbia Securities Commission since 1987, the Bureau de décision et de révision en valeurs mobilières since 2004, 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 and the Quebec provincial court since 2004. This list also includes the name of persons whose sanctions have now expired.

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. For due diligence purposes, we also consider it essential that the list remain complete. This is why we identify all persons that have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.