Disciplined List


Name: Li, Rebecca Wai-Chiu
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement October 13, 2020
Administrative Penalty / Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $850,000.00 *
Fraud and/or Forgery and/or Falsification
Unregistered activities and/or unapproved activities
Failure to cooperate
Supporting Documents
Media Release (English)
Related Documents (English)

* Click here for additional information regarding the amount outstanding.

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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