You are here

Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
09/09/2011 - 00:00 Administrative Penalty $750.00 DW Trustees (BVI) Limited
09/09/2011 - 00:00 Administrative Penalty $3,000.00 Osiris International Trustees Limited
08/15/2011 - 00:00 Directive Porcupine Absolute Return Fund Inc.
08/15/2011 - 00:00 Directive Consistent Return (Cash Management) Fund Inc.
08/15/2011 - 00:00 Directive Aliquot Commodity Fund Inc.
08/15/2011 - 00:00 Directive Aliquot Precious Metals Inc.
08/15/2011 - 00:00 Directive Next 11 Emerging Fund Inc.
08/15/2011 - 00:00 Directive Intelligent Portfolio (IQ-Asset Allocation) Inc.
08/15/2011 - 00:00 Directive Porcupine Global Macro Plus Inc.
08/15/2011 - 00:00 Directive Concerto Alternative Alpha Inc.
08/15/2011 - 00:00 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
08/15/2011 - 00:00 Directive Balanced Opportunity Inc.
08/15/2011 - 00:00 Directive Global Property Growth & Income REITS Fund Inc.
08/15/2011 - 00:00 Directive Emerging Markets Growth And Income Fund Inc.
08/15/2011 - 00:00 Directive Aliquot Agriculture Fund Inc.

Pages