Disciplined List
Tsang, Clive Chow Kai
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Date of Order or Settlement:
2005-08-23 -
Banned Until:
2010-08-23
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban with conditions
- A reprimand
- An order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
- An undertaking to not become or act as a designated compliance officer for 5 years
- An undertaking to not seek registration under the Securities Act for 5 years
Supporting Documents:
Violation:
- Unregistered activity
- Failure to ensure compliance with the Securities Act and regulations
- Acting contrary to the public interest