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Enforcement Action

Action Date Enforcement Action Licensee or Regulated Person
23 Jul 2013 Appointment of Qualified Person Shirley Trust Company Limited
15 Aug 2011 Directive Aliquot Precious Metals Inc.
6 Dec 2012 Revocation of Licenses/Certificate Great Oak Insurance Company Limited
26 Sep 2013 Administrative Penalty $100,000.00 Commonwealth Trust Limited
29 Aug 2013 Warning Letter Occidental Life Insurance Company of North Carolina
20 Sep 2013 Lifting of Directive Systematic Growth Fund Inc.
13 May 2013 Cease and Desist Order Axis Trading Group Incorporated
4 Dec 2013 Warning Letter Isocrates Limited
25 Jan 2013 Directive Porcupine Absolute Return Fund Inc.
20 Sep 2013 Lifting of Directive World Index Growth and Income Fund Inc.
12 Sep 2014 Directive AAUG Insurance Company Limited
4 Jul 2017 Administrative Penalties $20,000.00 EAST ASIA CORPORATE SERVICES (B.V.I.) LIMITED
7 Oct 2016 Lifting of Directive Caribbean Insurers Limited
27 Jun 2012 Public Statement Catal Insurance Company Limited
11 Feb 2011 Revocation of Licenses/Certificate Mr. Christopher David Stride of Krys & Associates (BVI) Ltd