Disciplined List

Details

Name: Spithoff, Collin John
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement June 03, 2021
Banned Until June 03, 2026
Sanctions
Administrative Penalty / Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $25,000.00
Violations
Unregistered activities and/or unapproved activities
Internal control violations
Supporting Documents
Media Release (English)
Related Documents (English)


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