Disciplined List
Bhalla, Prem Chand
-
Date of Order or Settlement:
1999-12-22 -
Banned Until:
2001-12-22
Sanction:
- 2-year ban on trading in exempt securities with conditions
- 6 months of strict supervision
- 6 month ban on applying to have registration upgraded
Supporting Documents:
Violation:
- Unauthorized trading
- Failure to comply with the "Know Your Client" rule
Ruling Body:
BCSCPayment Agreed/Ordered:
$2,000 plus $1,000 in costs