Disciplined List
Chew, Wah Bo
-
Date of Order or Settlement:
2022-03-03 -
Banned Until:
2032-03-15
Sanction:
- 10-year director/officer ban with conditions (2022)
- 4-years strict supervision of registration with conditions (2022)
- An undertaking to comply with the Securities Act (1997)
- An undertaking to destroy all stationery of Chartwell that makes references to Ascot (1997)
Supporting Documents:
Violation:
- Failure to meet the standard of care for an investment manager (2022)
- Improperly representing that a company was registered under the Securities Act (1997)
- Improperly using the name of another registrant (1997)
Ruling Body:
BCSCPayment Agreed/Ordered:
$70,000 (2022) $2,000 (1997)