DISCIPLINED PERSONS LIST

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

News Release

Decision/Order New window
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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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