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Chien-Hua Liu, also known as William Liu; NuWealth Financial Group Inc.; CPFS Professional Financial Services Inc.; Executive Director

Date Opened:
2017-12-18
Hearing Type:
Enforcement
Allegations:
Trading without registration
Status:
Hearing held; Submissions complete; Findings rendered; Submissions pending
Hearing Dates:
2018-01-30; 2018-06-11 - 2018-06-12; 2018-06-14; 2018-09-07; 2019-04-03;
Panel:
Nigel P Cave - Chair, Don Rowlatt, Suzanne K Wiltshire
Please Note:
Hearing concluded. The Panel issued its Findings on November 23, 2018. On April 3, 2019, the Panel will hear the parties' oral submissions on sanctions.


Notices & Decisions

Date Issued Document Type Description
2019-03-07 Notice Hearing Notice - hearing date, 2019 BCSECCOM 89
2018-11-23 Findings 2018 BCSECCOM 372
2018-11-23 News release
2017-12-19 News release News release
2017-12-18 Notice of hearing 2017 BCSECCOM 378