Staff of the Ontario Securities Commission brought an expedited proceeding seeking a reciprocal protective order against the respondent under subsection 127(10) of the Securities Act.
The respondent had previously entered into a settlement agreement with the Nova Scotia Securities Commission, admitting to acting as an adviser without registration.
The respondent consented to the Ontario order.
The Commission granted the order, imposing trading bans, exemptions bans, and director/officer prohibitions mirroring the Nova Scotia order to the extent possible under Ontario law.
