Disciplined List
Siu, Nelson Kenfung
-
Date of Order or Settlement:
2005-07-15
Sanction:
- One year of close supervision
- An order to comply fully with the Securities Act, Securities Rules and all applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Failure to fulfill "gatekeeper" duties
- Accepting orders on an account from a person who was not authorized to trade in that account
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$25,000