Disciplined List

Details

Name: Chan, Allen
Ontario - Ontario Securities Commission
Date of Order or Settlement July 09, 2018
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Trading ban with or without conditions
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Disgorgement /Restitution
Acquisitions ban with or without exceptions
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered Administrative penalty/ Pénalités administratives: $5,000,000; Costs/Frais: $2,038,704; Costs (Joint & Several)/Frais (Solidaire): $3,058,056; Disgorgement/Remis de sommes: $60,288,253
Violations
Fraud and/or Forgery and/or Falsification
Authorized, permitted or acquiesced in violation
Making false or misleading statements
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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