The disciplined persons list is intended to assist the public and the securities industry in conducting due diligence. The list contains the names of persons disciplined by the following agencies:
- the Alberta Securities Commission since 2005;
- the Autorité des marchés financiers since 2007;
- the British Columbia Securities Commission since 1987;
- the Bureau de décision et de révision (Québec) since 2007;
- Financial and Consumer Services Commission (New Brunswick) since 2005;
- the Manitoba Securities Commission since 1999;
- the Nova Scotia Securities Commission since 2002;
- the Ontario Securities Commission since 1997;
- the Saskatchewan Financial Services Commission since 2005;
- the Québec courts since 2007;
- the Investment Industry Regulatory Organization of Canada (IIROC) since 2004;
- the Mutual Fund Dealers Association of Canada (MFDA) since 2004; and
- the Chambre de la sécurité financière since 2001.
Administrative tribunal hearing decisions and CSA member decisions are public records. As the government agencies responsible for protecting investors and the integrity of the securities markets, CSA members consider it important to make this type of information readily available. This is why we give the names of persons who have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.
Also, please note that as of July 1, 2015, certain orders made in other provinces or territories will automatically take effect in Alberta. For more information, contact the Alberta Securities Commission or review its website at www.albertasecurities.com.