DISCIPLINED PERSONS LIST

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

News Release

Settlement/Order New window

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.