Tsang, Clive Chow Kai

Date of Order or Settlement:
2005-08-23
Banned Until:
2010-08-23
Sanction:

    5-year trading ban with conditions

    5-year director/officer ban with conditions

    A reprimand

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

    An undertaking to not become or act as a designated compliance officer for 5 years

    An undertaking to not seek registration under the Securities Act for 5 years

Supporting Documents:
Violation:

    Unregistered activity

    Failure to ensure compliance with the Securities Act and regulations

    Acting contrary to the public interest

Ruling Body:
BCSC
Sanction Payment Status: