Disciplined List
Pan, Chun Ying "Jim"
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Date of Order or Settlement:
2020-01-09 -
Banned Until:
2025-01-09
Sanction:
- 5-year ban from trading in securities or exchange contracts (with conditions)
- 5-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision
- 5-year director/officer ban
- 5-year ban from becoming or acting as a registrant or promoter
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 5-year investor relations ban
Supporting Documents:
Violation:
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Illegal distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$40,000