Cross-issuer relationship graph
Notable connections
BCSC settlement agreement (2014). Now serves at NPLI, HCA.U.
AMF administrative penalty (2020). Now serves at NPLI, HCA.U, TRYG.
OSC cease trade order (lifted) (2019). Now serves at NPLI.
IIROC disciplinary sanction (2017). Now serves at HCA.U, NPLI, TRYG.
OSC reprimand & undertaking (2021). Now serves at HCA.U.
BCSC cease trade order (individual) (2022). Now serves at NPLI.
Clusters worth a look
Multiple reporting issuers registered at the same suite. Common with corporate-services shells and qualifying-transaction vehicles.
Cross-issuer role coincides with a prior regulatory action against this individual.
Cross-issuer role coincides with a prior regulatory action against this individual.
Cross-issuer role coincides with a prior regulatory action against this individual.
Same individual serves in officer or board roles at multiple monitored issuers — assess independence and related-party exposure.
Same individual serves in officer or board roles at multiple monitored issuers — assess independence and related-party exposure.
Shared audit firm across monitored issuers. Track concentration; cross-reference against prior NI 51-102 reportable events.