Disciplined List

Details

Name: Assante Capital Management Ltd.
Ontario - Ontario Securities Commission
Date of Order or Settlement December 21, 2017
Sanctions
Specific undertakings
Other
Payment Agreed/Ordered Settlement Payment/Somme versée en règlement: $140,000; Costs/Frais: $25,000
Supporting Documents
Order (English)
Settlement Agreement (English)

SRO - Investment Industry Regulatory Organization of Canada
Date of Order or Settlement October 13, 2015
Sanctions
Administrative Penalty/Fine
Payment Agreed/Ordered $430,000.00
Violations
Inadequate compliance system
Supporting Documents
Related Documents (English) (French)


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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