Disciplined List
Tsakok, Raoul Noel
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Date of Order or Settlement:
2006-06-30
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
Supporting Documents:
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:
BCSCPayment Agreed/Ordered:
$40,000 plus $5,000 in costs