DISCIPLINED PERSONS LIST
[Print]
| Name | Lau, David |
|---|---|
| Date of Order or Settlement | June 7, 1995 |
| Banned Until | June 7, 2005 |
| Sanction |
10-year trading ban 10-year director/officer ban An order to comply with sections 20 and 42 of the Securities Act An order to cease trading in the forex contracts |
| Payment Agreed / Ordered | $10,000 |
| Violation |
Unregistered distribution Unregistered advising |
| Ruling Body | BCSC |
| Supporting Documents |
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