Disciplined List

Details

Name: Wong, Siu Mui "Debbie"
British Columbia - British Columbia Securities Commission
Date of Order or Settlement February 20, 2017
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Trading ban with or without conditions
Investor relations ban with or without exceptions
Other
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered $9,857,850 in disgorgement and an administrative penalty of $6 million
Violations
Fraud and/or Forgery and/or Falsification
Illegal or unregistered distributions
Supporting Documents
Media Release (English)
Merits Decisions (English)
Media Release (English)
Sanctions Decisions (English)

Manitoba - Manitoba Securities Commission
Date of Order or Settlement September 06, 2017
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Trading ban with or without conditions
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered  
Supporting Documents
Reciprocal Order (English)

The CSA presents this information as a plain language summary of information found in publicly available documents. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions. Please forward any questions or reports of errors and omissions to csa-acvm-secretariat@acvm-csa.ca



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