Disciplined List


Name: Spithoff, Collin John
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement June 03, 2021
Banned Until June 03, 2026
Administrative Penalty / Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $25,000.00
Unregistered activities and/or unapproved activities
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. Although we try to ensure the information in the Disciplined List is complete, accurate and current, this may not always be the case.

Back |Top