Decisions
Betty Leung [Reciprocal Order]
BCSECCOM #:
2008 BCSECCOM 483
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Document Type:
Reciprocal Order
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Published Date:
2008-09-03
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Effective Date:
2008-08-29
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Details:
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2008 BCSECCOM 483
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2008 BCSECCOM 483
Reciprocal Order
Betty Leung
Section 161(1) of the Securities Act, RSBC 1996, c. 418
- Introduction
- Background
- Order
- 1. under section 161(1)(b) of the Act, that Leung cease trading in, and is prohibited from purchasing, securities and exchange contracts, except that Leung may trade and purchase mutual fund securities through accounts in her name at a registered dealer,
2. under section 161(1)(d)(i) and (ii), that Leung resign any position she holds as, and is prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager,
3. under section 161(1)(d)(iii), that Leung is prohibited from becoming or acting as a registrant, investment fund manager or promoter,
4. under section 161(1)(d)(iv), that Leung is prohibited from acting in a management or consultative capacity in connection with activities in the securities market, and
5. under section 161(1)(d)(v), that Leung is prohibited from engaging in investor relations activities,
permanently.
¶ 4 August 29, 2008
¶ 5 For the Commission
- Brent W. Aitken
Vice Chair
Don Rowlatt
Commissioner