Enforcement

Disciplined List

Liu, Chien-Hua (aka William Liu)

Date of Order or Settlement:

2019-07-04
Banned Until:

2021-07-04

Sanction:

2-year ban from purchasing and trading in securities (with conditions)
2-year ban from relying on any exemptions set out in the Securities Act, the regulations or a decision
2-year director/officer ban (with conditions)
2-year ban from becoming or acting as a registrant or promoter
2-year ban from acting in a management or consultative capacity in connection with activities in the securities market
2-year investor relations ban

Supporting Documents:

Violation:

Unregistered trading

Ruling Body:

BCSC

Payment Agreed/Ordered:

$119,380.79 in disgorgement and a $40,000 administrative penalty