Disciplined List
Zhu, Yan (aka Rachel Zhu)
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Date of Order or Settlement:
2015-06-23
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts (with conditions)
- Permanent ban from relying on any exemptions set out in the Securities Act, the regulations or a decision
- Permanent director/officer ban (with conditions)
- Permanent ban from becoming or acting as a registrant or promoter
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
- Permanent investor relations ban
Supporting Documents:
Violation:
- Fraud
- Illegal distribution
- Obstruction of justice
- False and misleading statements
Ruling Body:
BCSCPayment Agreed/Ordered:
$14 million in disgorgement plus a
$14 million administrative penalty