Enforcement

Disciplined List

Bhalla, Prem Chand

Date of Order or Settlement:

1999-12-22
Banned Until:

2001-12-22

Sanction:

2-year ban on trading in exempt securities with conditions
6 months of strict supervision
6 month ban on applying to have registration upgraded

Supporting Documents:

Settlement/Order

Violation:

Unauthorized trading
Failure to comply with the "Know Your Client" rule

Ruling Body:

BCSC

Payment Agreed/Ordered:

$2,000 plus $1,000 in costs