DISCIPLINED PERSONS LIST

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

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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