Disciplined List

Details

Name: Innes, Mary Elizabeth
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement September 24, 2020
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Completion of training
Administrative Penalty / Fine
Payment Agreed/Ordered $9,000.00
Violations
Internal control violations
Supporting Documents
Media Release (English)
Related Documents (English)


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