DISCIPLINED PERSONS LIST
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| Name | Tsakok, Raoul Noel |
|---|---|
| Date of Order or Settlement | June 30, 2006 |
| Sanction |
An Order to comply fully with the Securities Act, the Securities Rules and regulations An undertaking to not apply for registration under the Securites Act as an advising or trading officer of a registrant |
| Payment Agreed / Ordered | $40,000 plus $5,000 in costs |
| Violation |
Acting as a director/officer of a reporting issuer while registered as an Advising Director Failure to manage a mutual fund with the degree of care, dilligence and skill that a reasonable person would exercise in the circumstances Acting contrary to the public interest |
| Ruling Body | BCSC |
| Supporting Documents |
Settlement/Order 
|
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