Disciplined List

Details

Name: Assante Financial Management Ltd.
New Brunswick - Financial and Consumer Services Commission
Date of Order or Settlement May 20, 2009
Sanctions
Administrative Penalty/Fine
Reprimand
Other
Payment Agreed/Ordered  
Violations
Unregistered activities and/or unapproved activities
Supporting Documents
Order (English) (French)
Settlement Agreement (English) (French)

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)


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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