DISCIPLINED PERSONS LIST
[Print]
| Name | Shum, David Yan Sum |
|---|---|
| Date of Order or Settlement | December 4, 1997 |
| Banned Until | December 4, 2017 |
| Sanction |
20-year trading ban 20-year director/officer ban 20-year investor relations ban |
| Payment Agreed / Ordered |
$20,000 fine |
| Violation |
Unauthorized trading Misappropriation of client funds |
| Ruling Body | BCSC |
| Supporting Documents |
Decision/Order 
|
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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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