Wong, Lisa

Date of Order or Settlement:
Banned Until:

    3-year trading ban with conditions (BCSC)

    3-year director/officer ban with conditions (BCSC)

    3-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)

    3-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)

    3-year investor relations ban (BCSC)

Supporting Documents:

    Illegal Distribution (ASC)

    Unregistered trading (ASC)

    Acting contrary to the public interest (ASC)

Ruling Body:
BCSC, Alberta Securities Commission (ASC)
Sanction Payment Status:
$40,000 (ASC)