DISCIPLINED PERSONS LIST
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| Name | Tsang, Clive Chow Kai |
|---|---|
| Date of Order or Settlement | August 23, 2005 |
| Banned Until | August 23, 2010 |
| Sanction |
5-year trading ban with conditions 5-year director/officer ban with conditions A reprimand An order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines An undertaking to not become or act as a designated compliance officer for 5 years An undertaking to not seek registration under the Securities Act for 5 years |
| Violation |
Unregistered activity Failure to ensure compliance with the Securities Act and regulations Acting contrary to the public interest |
| Ruling Body | BCSC |
| Supporting Documents |
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