Skip Navigation
Enforcement

Disciplined List

Link, Klaus

  • Date of Order or Settlement:

    2009-07-07

Sanction:

    Permanent trading ban with conditions (BCSC)
  • Permanent denial of exemptions described in sections 44 to 47, 74, 98 and 99 of the Securities Act with conditions (BCSC)
  • Permanent director/officer ban (BCSC)
  • Permanent from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
  • Permanent ban from from acting in a management or consultative capacity in connection with activities in the securities market (BCSC)
  • Permanent investor relations ban (BCSC)

Supporting Documents:

Violation:

  • Unregistered trading (SFSC)
  • Unregistered advising (SFSC)

Ruling Body:

BCSC, Saskatchewan Financial Services Commission (SFSC)

Payment Agreed/Ordered:

 $100,000 plus $60,468.76 in costs (SFSC)