DISCIPLINED PERSONS LIST

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

News Release

Settlement/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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