Disciplined List
Link, Klaus
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Date of Order or Settlement:
2009-07-07
Sanction:
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Permanent trading ban with conditions (BCSC)
- Permanent denial of exemptions described in sections 44 to 47, 74, 98 and 99 of the Securities Act with conditions (BCSC)
- Permanent director/officer ban (BCSC)
- Permanent from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- Permanent ban from from acting in a management or consultative capacity in connection with activities in the securities market (BCSC)
- Permanent investor relations ban (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (SFSC)
- Unregistered advising (SFSC)
Ruling Body:
BCSC, Saskatchewan Financial Services Commission (SFSC)Payment Agreed/Ordered:
$100,000 plus $60,468.76 in costs (SFSC)