Siu, Nelson Kenfung

Date of Order or Settlement:
2005-07-15
Banned Until:
Sanction:

    One year of close supervision

    An order to comply fully with the Securities Act, Securities Rules and all applicable regulations, policies and guidelines

Supporting Documents:
Violation:

    Failure to fulfill "gatekeeper" duties

    Accepting orders on an account from a person who was not authorized to trade in that account

    Acting contrary to the public interest

Ruling Body:
BCSC
Sanction Payment Status:

$25,000