Tsakok, Raoul Noel

Date of Order or Settlement:
Banned Until:

    An Order to comply fully with the Securities Act, the Securities Rules and regulations

    An undertaking to not apply for registration under the Securites Act as an advising or trading officer of a registrant

Supporting Documents:

    Acting as a director/officer of a reporting issuer while registered as an Advising Director

    Failure to manage a mutual fund with the degree of care, dilligence and skill that a reasonable person would exercise in the circumstances

    Acting contrary to the public interest

Ruling Body:
Sanction Payment Status:
$40,000 plus $5,000 in costs