Shum, David Yan Sum

Date of Order or Settlement:
1997-12-04
Banned Until:
2017-12-04
Sanction:

    20-year trading ban

    20-year director/officer ban

    20-year investor relations ban

Supporting Documents:
Violation:

    Unauthorized trading

    Misappropriation of client funds

Ruling Body:
BCSC
Sanction Payment Status:

$20,000 fine