DISCIPLINED PERSONS LIST
[Print]
| Name | Siu, Nelson Kenfung |
|---|---|
| Date of Order or Settlement | July 15, 2005 |
| Sanction |
One year of close supervision An order to comply fully with the Securities Act, Securities Rules and all applicable regulations, policies and guidelines |
| Payment Agreed / Ordered |
$25,000 |
| 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 | BCSC |
| Supporting Documents |
Settlement/Order 
|
Disclaimer:
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.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.