Disciplined List

Details

Name: Bagga, Gurmeet Singh
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement September 23, 2020
Banned Until September 23, 2021
Sanctions
Administrative Penalty / Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $20,000.00 *
Violations
Illegal or unregistered distributions
Unregistered activities and/or unapproved activities
Supporting Documents
Media Release (English)
Related Documents (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



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