Disciplined List

Details

Name: Xie, Yangyi
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement May 17, 2017
Banned Until November 17, 2018
Sanctions
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $5,500.00
Violations
Fraud and/or Forgery and/or Falsification
Unregistered, unauthorized and/or improper trading
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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