Defendant Name: Yan Zhuang

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Canadian Solar, Inc. and Yan Zhuang
First Document Date 15-Dec-2014
Initial Filing Format Administrative Action
File Number 3-16315
Allegation Type Issuer Reporting and Disclosure
AAER 3613

Affiliations

Violations Alleged

Exchange Act
• Sec 13(b)(5)

Related Violations Alleged

Yan Zhuang is alleged to have caused Canadian Solar, Inc. 's violation of Rule 12b-20 of the Exchange Act.
Yan Zhuang is alleged to have caused Canadian Solar, Inc. 's violation of Sec 13(a) of the Exchange Act.
Yan Zhuang is alleged to have caused Canadian Solar, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Yan Zhuang is alleged to have caused Canadian Solar, Inc. 's violation of Rule 13a-16 Exchange Act.

Resolutions

First Resolution Date 15-Dec-2014
Headline Total Penalty and Disgorgement $550,000

Related Documents:

34-73839 15-Dec-2014 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalties

Other Defendants in Action:

Canadian Solar, Inc.