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St. Lawrence Trading Inc.

 
Action Date:
Wednesday, 22 July, 2015
Category:
Enforcement Action:
Enforcement Summary:
An administrative penalty in the amount of $4,000.00 was imposed on St. Lawrence Trading Inc. for its contravention of the following sections of Securities and Investment Business Act, 2010: a) section 54(1) for failing to obtain prior written approval from the Commission when appointing a functionary of a public fund; and b) section 54(3) for failing to notify the Commission seven (7) days after a functionary ceased to act for a public fund.
Matter ID:
BF101113/261