Disciplined List

Details

Name: Bott, Steven Thomas
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement April 18, 2017
Sanctions
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $25,000.00
Violations
Conflict of interest and/or acting against client interest
Supporting Documents
Merits Decisions (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