Disciplined List
Liu, Chien-Hua (aka William Liu)
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Date of Order or Settlement:
2019-07-04 -
Banned Until:
2021-07-04
Sanction:
- 2-year ban from purchasing and trading in securities (with conditions)
- 2-year ban from relying on any exemptions set out in the Securities Act, the regulations or a decision
- 2-year director/officer ban (with conditions)
- 2-year ban from becoming or acting as a registrant or promoter
- 2-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 2-year investor relations ban
Supporting Documents:
Violation:
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Unregistered trading
Ruling Body:
BCSCPayment Agreed/Ordered:
$119,380.79 in disgorgement and a $40,000 administrative penalty