Disciplined List

Details

Name: Ho, Stephanie See-Wing
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement February 05, 2018
Banned Until May 05, 2018
Sanctions
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $10,000.00
Violations
Unregistered activities and/or unapproved activities
Supporting Documents
Order (English)
Related Documents (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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