Disciplined List


Name: O'Connor, Donald Wayne
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement April 06, 2018
Administrative Penalty/Fine
Payment Agreed/Ordered $25,000.00 *
Fraud and/or Forgery and/or Falsification
Internal control violations
Supporting Documents
Related Documents (English)
Media Release (English)

* Click here for additional information regarding the amount outstanding.

The CSA presents this information as a plain language summary of information found in publicly available documents. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions. Please forward any questions or reports of errors and omissions to csa-acvm-secretariat@acvm-csa.ca

Back |Top