Decisions
Kwok-On Aloysius Lo [Reciprocal Order]
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BCSECCOM #:
2009 BCSECCOM 384
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Document Type:
Reciprocal Order
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Published Date:
2009-07-14
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Effective Date:
2009-07-07
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Details:
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2009 BCSECCOM 384
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2009 BCSECCOM 384
Reciprocal Order
Kwok-On Aloysius Lo
Section 161(1) of the Securities Act, RSBC 1996, c. 418
Kwok-On Aloysius Lo
Section 161(1) of the Securities Act, RSBC 1996, c. 418
- Introduction
- Background
- Order
- 1. under section 161(1)(b) of the Act, that Lo cease trading in, and is prohibited from purchasing, securities and exchange contracts, until March 5, 2014, except that Lo may trade and purchase securities through accounts in his name at a registered dealer,
2. under section 161(1)(c) of the Act, that any or all of the exemptions described in sections 44 to 47, 74, 75, 98 and 99 do not apply to Lo, until March 5, 2014, except for those exemptions necessary to enable Lo to trade and purchase securities as permitted in this order,
3. under section 161(1)(d)(i) and (ii) of the Act, that Lo resign any position he holds as, and is prohibited until March 5, 2019, from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager,
4. under section 161(1)(d)(iii) of the Act, that Lo is prohibited until March 5, 2019, from becoming or acting as a registrant, investment fund manager or promoter,
5. under section 161(1)(d)(iv) of the Act, that Lo is prohibited until March 5, 2019, from acting in a management or consultative capacity in connection with activities in the securities market, and
6. under section 161(1(d)(v) of the Act, that Lo is prohibited until March 5, 2019, from engaging in investor relations activities.
¶ 4 July 7, 2009
¶ 5 For the Commission
- Brent W. Aitken
Vice Chair
David J. Smith
Commissioner